Monday, February 21. 2022

SEC Announces Reopening of Comment Period for Pay Versus Performance

The SEC has reopened the comment period on 2015 proposed rules under the Dodd-Frank Act (Act) requiring disclosure of information that reflects the relationship between the actual executive compensation paid by a company and the company's financial performance. The SEC is assessing whether additional performance measures might better reflect the Congressional objectives detailed in the Act. This is especially significant considering the value of and the need for dispensing information regarding executive compensation to investors. Should the proposed rule be adopted, it would improve the quality of executive compensation disclosure practices and provide shareholders with information needed to evaluate a company’s executive compensation policies.

Continue reading "SEC Announces Reopening of Comment Period for..." »
Posted by
LeAnn Dey
in SEC at 12:13

Friday, February 18. 2022

SEC Closed Monday, February 21

The SEC will be closed Monday, February 21 in observance of President’s Day. The EDGAR System will not receive, process or accept filings on this day. Filings with a due date of February 21 will be due the following business day, which is Tuesday, February 22. {expires: 2022-02-22}

Continue reading "SEC Closed Monday, February 21" »
Posted by
The Novaworks Team
in EDGAR News, Novaworks News, SEC at 18:01

Monday, February 14. 2022

SEC Provides Guidance Regarding Proper Tagging for Finance Lease Liability, Future Payments, and Excess Amount of the Future Payments Over the Finance Lease Liability

The SEC’s Division of Economic and Risk Analysis (DERA) has observed that some filers are not appropriately tagging disclosures about their finance lease liability, undiscounted future lease payments, and the excess amount of the undiscounted future lease payments over the finance lease liability (for example, imputed interest). DERA is providing guidance to filers to address some of this mistakes. Continue reading "SEC Provides Guidance Regarding Proper Tagging..." »
Posted by
LeAnn Dey
in DERA, SEC Filing Help, US GAAP Taxonomy at 10:03

Friday, February 11. 2022

SEC Advises on Filing Agent/Filer Software Adjustment for Upcoming EDGAR Change

The SEC has announced that on or about April 4th, it will introduce a change to the EDGAR filing websites (EDGAR Link Online and Online Forms) that will affect the way certain third-party software may communicate with these websites. EDGAR will develop a unique parameter that some third-party software products may need to include in each request that enters/updates data. EDGAR will both verify the existence and validity of the parameter in filers’ requests and end user sessions if the value of the parameter is missing or mismatched. Continue reading "SEC Advises on Filing Agent/Filer Software..." »
Posted by
LeAnn Dey
in EDGAR News, Filing Technology, SEC, SEC Filing Help at 11:34

SEC Proposes Rule Amendments for Investor Protections in Communication Protocol Systems and ATSs

On January 26th, the SEC proposed rules to enhance investor protections and improve cybersecurity by bringing more Alternative Trading Systems (ATS) that trade treasuries and other government securities under the regulatory heading. This proposal builds upon the September 2020 proposal for ATSs and feedback received in response to that proposal. The SEC is also re-proposing amendments to Registration Systems Compliance and Integrity (Regulation SCI) to apply it to ATSs that meet certain volume thresholds in US Treasury Securities or Agency Securities. Continue reading "SEC Proposes Rule Amendments for Investor..." »
Posted by
LeAnn Dey
in SEC, SEC Filing Help at 09:20

Monday, February 07. 2022

SEC Releases Annual Staff Report on Nationally Recognized Statistical Rating Organizations

On January 31th, the SEC issued its annual Staff Report on Nationally Recognized Statistical Rating Organizations (NRSROs), as required by Section 6 of the Credit Rating Agency Reform Act of 2006 and Section 15E(p)(3)(C) of the Securities Exchange Act of 1934.

Continue reading "SEC Releases Annual Staff Report on Nationally..." »
Posted by
LeAnn Dey
in Investor Education, SEC at 10:56

SEC to Host Small Business Capital Formation Advisory Committee Web Meeting

The SEC has announced that its Small Business Capital Formation Advisory Committee will hold a remote meeting to discuss matters related to the rules and regulations affecting small and emerging companies and their investors under the federal securities laws. The free webcast will take place on Thursday, February 10, 2022, from 10:00 a.m. to 4:00 p.m. ET. The event is open to the public and will be presented live on sec.gov. {expires: 2022-02-10} Continue reading "SEC to Host Small Business Capital Formation..." »
Posted by
LeAnn Dey
in Events, Investor Education, SEC at 09:10

Wednesday, February 02. 2022

SEC Announces Proposed Updates to Private Fund Reporting Requirements

On January 26th, the SEC voted to propose amendments to Form PF, the confidential reporting form for certain SEC-registered investment advisers to private funds. The proposed amendments would amend reporting requirements for large private equity advisers and large liquidity fund advisors. Continue reading "SEC Announces Proposed Updates to Private Fund..." »
Posted by
LeAnn Dey
in SEC at 09:30

Monday, January 31. 2022

Important Notice Regarding Fee-Bearing Forms

The SEC has released a change to the EDGAR System today, January 31st. This change affects forms with fees. Filers who need to file particular fee-bearing forms today must take action to ensure proper submission. {expires: 2022-02-01} Continue reading "Important Notice Regarding Fee-Bearing Forms" »
Posted by
The Novaworks Team
in GoFiler Updates, SEC Filing Help at 10:20

Friday, January 28. 2022

The Divisions of Corporation Finance and Investment Management Provide Guidance Regarding the Use of Paper “Courtesy Copies”

The Divisions of Corporation Finance and Investment Management receive paper “courtesy copies” of materials from many individuals and entities when they file or submit via EDGAR, email, online form or other electronic methods of communication. Registrants frequently send marked copies of amendments to registration statements or copies of electronically filed registration statements showing modifications from previously submitted or filed versions. Continue reading "The Divisions of Corporation Finance and..." »
Posted by
LeAnn Dey
in Corporation Finance, Investment Management, SEC Filing Help at 13:25

XBRL US to Hold Virtual Data Quality Committee Meeting

XBRL US’ Data Quality Committee (DQC) will host a virtual meeting for industry leaders to further engage in discussions and plans to establish rules and guidance for public corporations complying with the SEC’s XBRL requirements. The webinar will take place on Wednesday, March 23, 2022, from 9:00 a.m. to 12:00 p.m. EST. {expires: 2022-03-24} Continue reading "XBRL US to Hold Virtual Data Quality Committee..." »
Posted by
LeAnn Dey
in Data Quality Committee, Events, SEC, SEC Filing Help, XBRL at 07:40

Wednesday, January 26. 2022

FASB Publishes Proposed Revisions to Future Taxonomy Related to Proposed ASU on Liabilities - Supplier Finance Programs

In December 2021, the FASB released a proposed update to the US Generally Accepted Accounting Principles (GAAP) Financial Reporting Taxonomy (US GAAP GRT) related to a Proposed Accounting Standards Update (ASU) on Liabilities - Supplier Finance Programs (Subtopic 405-50). The proposed revisions to the taxonomy will include new elements and reference updates. Continue reading "FASB Publishes Proposed Revisions to Future..." »
Posted by
LeAnn Dey
in Accounting, EDGAR News, FASB News, US GAAP Taxonomy, XBRL at 07:30

Monday, January 24. 2022

SEC Issues Guidance for Filers Using Incorrect Context Dates for Reported Facts

On January 14th, staff in the SEC’s Division of Economic and Risk Analysis noted that some filers were using incorrect context dates when tagging fact values in Forms 10-K and 10-Q. Continue reading "SEC Issues Guidance for Filers Using Incorrect..." »
Posted by
LeAnn Dey
in Filing Technology, SEC Filing Help at 10:40

Monday, January 17. 2022

SEC’s Small Business Advocate to Hold Capital Call January 19

The SEC’s Office of the Advocate for Small Business Capital Formation will host its third annual Capital Call on January 19, 2022, from 1:00 p.m. to 2:30 p.m. EST. The call is free, open to the public, and will be webcast live on the event page. The call will explore perspectives on current capital raising issues that impact startups through small cap businesses and their investors. {expires: 2022-01-20} Continue reading "SEC’s Small Business Advocate to Hold Capital..." »
Posted by
LeAnn Dey
in Corporation Finance, Investor Education, SEC at 17:40

Friday, January 14. 2022

Birthday of Martin Luther King, Jr.

The SEC will be closed Monday, January 17th in observance of Martin Luther King, Jr.’s birthday. The EDGAR System will not receive, process, or accept filings on this day. Filings with a due date of January 17th will be due the following business day, which is Tuesday, January 18th. The FERC will also be closed in observance of the federal holiday. {expires: 2022-01-18} Continue reading "Birthday of Martin Luther King, Jr." »
Posted by
The Novaworks Team
in FERC, Novaworks News, SEC at 13:36
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