Friday, February 10. 2023

SEC’s Division of Examinations Releases 2023 Priorities

On February 7th, SEC’s Division of Examinations issued its 2023 examination priorities, the publication that  details the Division’s risk-based approach, including the areas it believes may present possible risks to the integrity of the US capital markets and investors. When compiling the examination priorities, the Division is guided by its objectives to promote and improve compliance, prevent fraud, monitor risks, and inform policy. Continue reading "SEC’s Division of Examinations Releases 2023..." »
Posted by
LeAnn Dey
in Investor Education, SEC at 13:29

SEC’s Division of Investment Management and Division of Trading and Markets to Hold Open Meeting

SEC staff in the Division of Investment Management and the Division of Trading and Markets will hold an open meeting via webcast on sec.gov to address the topics of Shortening the Settlement Cycle and Safeguarding Advisory Client Assets. The meeting will take place on Wednesday, February 15, 2023, at 10:00 a.m. ET and is free and open for the public to attend. {expires: 2023-02-16} Continue reading "SEC’s Division of Investment Management and..." »
Posted by
LeAnn Dey
in Events, Investor Education, SEC at 08:36

Wednesday, February 08. 2023

GASB Introduces Proposed Guidance to Facilitate Application of Subscription-based Information Technology Arrangements

On February 6th, the Governmental Accounting Standards Board (GASB) released proposed implementation guidance that would expound on existing guidance related to subscription-based information technology arrangements (SBITAs). The Exposure Draft, Additional Proposal for Implementation Guidance Update—2023, focuses on whether the definition of a cloud computing arrangement is comparable to that of an SBITA, as defined in GASB Statement No. 96, Subscription-Based Information Technology Arrangements. Continue reading "GASB Introduces Proposed Guidance to Facilitate..." »
Posted by
LeAnn Dey
in Accounting, GASB News, Investor Education at 09:04

FERC, NARUC Joint Federal-State Task Force on Electric Transmission to Discuss Physical Security of the Transmission System

The Joint Federal-State Task Force on Electric Transmission will convene a meeting on Wednesday, February 15th from 1:30 p.m. to 4:00 p.m. ET. The Task Force meetings are free for the public to attend via webcast, and registration is not required. Interested parties may submit comments related to the proceedings by following the instructions on the FERC website. {expires: 2023-02-16} Continue reading "FERC, NARUC Joint Federal-State Task Force on..." »
Posted by
LeAnn Dey
in Events, FERC at 07:20

Monday, February 06. 2023

SEC Issues Reminder of Upcoming Form 144 Electronic Filing Compliance Deadline

The SEC has reminded affected filers about the April 13, 2023 compliance deadline for transitioning from paper filing to electronic filing for Form 144. In accordance with the SEC’s June 2022 adopted amendments concerning EDGAR filing requirements, certain Form 144 filings must be made on the SEC’s EDGAR system, for which filers must ensure that they have an account. The electronic filing requirement applies to all Form 144 filings except for related to securities of issuers that do not file 1934 Act reports with the SEC on EDGAR. Continue reading "SEC Issues Reminder of Upcoming Form 144..." »
Posted by
LeAnn Dey
in Novaworks News, SEC, SEC Filing Help at 17:02

SEC’s Small Business Advisory Committee to Discuss Capital Raising in 2023

The SEC’s Small Business Capital Formation Advisory Committee will hold a meeting on Tuesday, February 7, 2023, from 10:00 a.m. to 3:30 p.m. ET. The Committee will address matters related to facilitating start-up creation and growth by discussing what makes entrepreneurial communities work effectively. Members of the public may join the live meeting via webcast on sec.gov. {expires: 2023-02-08} Continue reading "SEC’s Small Business Advisory Committee to..." »
Posted by
LeAnn Dey
in Events, SEC at 07:10

Thursday, February 02. 2023

Novaworks Corporate Website Planned Maintenance

The Novaworks Corporate Website will be unavailable for approximately one hour on February 3rd starting at 1:00 a.m. ET for planned maintenance. {expires: 2023-02-04} Continue reading "Novaworks Corporate Website Planned Maintenance" »
Posted by
The Novaworks Team
in Novaworks News at 15:57

Wednesday, February 01. 2023

SEC’s Division of Corporation Finance Updates Financial Reporting Manual and Exchange Act Rules, Forms

On January 31st, the SEC announced that it has updated sections of its Division of Corporation Finance Financial Reporting Manual, as well as the Exchange Act Rules and Exchange Act Forms. Continue reading "SEC’s Division of Corporation Finance Updates..." »
Posted by
LeAnn Dey
in SEC, SEC Filing Help at 11:00

Tuesday, January 31. 2023

SEC Proposes Revisions to Ethics Rules Regulating Securities Trading by Employees, Solicits Feedback

On January 30th, the SEC, in conjunction with the Office of Government Ethics, proposed amendments to the SEC’s ethics rules to enhance, revise and improve the overall efficacy of the agency’s ethics compliance program. More specifically, the proposed amendments would add new requirements and prohibitions to the existing program, which includes particularly strict ethics requirements within the executive branch for all SEC employees and their immediate families. Continue reading "SEC Proposes Revisions to Ethics Rules..." »
Posted by
LeAnn Dey
in Investor Education, SEC at 07:00

Friday, January 27. 2023

SEC Revises and Re-proposes Rule to Prohibit Conflicts of Interest in Certain Securitizations

On January 25th, the SEC announced that it is updating and re-proposing rules initially proposed in 2011 that would prohibit conflicts of interest in certain securitization transactions, as required by Congress. The Dodd-Frank Wall Street Reform and Consumer Protection Act added new Section 27B to the Securities Act to reintroduce and clarify the original proposed rules and to require the SEC to issue rules to implement the prohibition and related exceptions. Continue reading "SEC Revises and Re-proposes Rule to Prohibit..." »
Posted by
LeAnn Dey
in SEC at 14:20

Wednesday, January 25. 2023

FERC Enhances Reliability Standards for Monitoring Electric Grid Cyber Systems

On January 19th, the FERC approved rules to improve the cybersecurity of the grid by issuing several directives to the North American Electric Reliability Corporation (NERC). Under the new rules, the NERC is required to develop and submit reliability standards for FERC approval that would require internal network security monitoring (INSM) for both medium-impact systems with high-speed internet connections and high-impact bulk electric system (BES) cyber systems with external routable connectivity. Continue reading "FERC Enhances Reliability Standards for..." »
Posted by
LeAnn Dey
in FERC at 09:03

Monday, January 23. 2023

New Release (5.17b) for the GoFiler Family of Products

Version 5.17b of all applications in the GoFiler Suite has been released. This release corresponds to EDGAR 22.4.1 and contains corrections and improvements to Form 13F.

Continue reading "New Release (5.17b) for the GoFiler Family of..." »
Posted by
The Novaworks Team
in GoFiler Updates, Novaworks News at 17:46

SEC Issues Fee Rate Advisory #2 for Fiscal Year 2023

On January 23rd, the SEC announced that it has established new fee rates in accordance with Section 31 of the Securities Exchange Act of 1934. The fee rates that apply to most securities transactions will be set at $8.00 per million dollars and will go into effect on February 27th. The rate each self-regulatory organization is required to pay the SEC will remain $22.90 per million dollars for covered sales occurring on charge dates through February 26th. For more information on the charge date, refer to Rule 31(a)(3) and Exchange Act Release No. 49928 on the SEC’s website. Continue reading "SEC Issues Fee Rate Advisory #2 for Fiscal Year..." »
Posted by
LeAnn Dey
in Investment Management, SEC at 15:13

Friday, January 20. 2023

SEC’s Small Business Advocate to Hold Annual Capital Call

The SEC’s Office of the Advocate for Small Business Capital Formation will host its annual Capital Call on Tuesday, January 24, 2023, beginning at 1:00 p.m. EST. The event is free, open to the public, but registration is required to join the discussion and ask questions live during the webcast. Those planning to attend may also submit questions in advance via email to smallbusiness@sec.gov. {expires: 2023-01-25} Continue reading "SEC’s Small Business Advocate to Hold Annual..." »
Posted by
LeAnn Dey
in Events, SEC at 09:20

Thursday, January 19. 2023

SEC Staff to Hold Open Meeting to Discuss Prohibition Against Conflicts of Interest in Certain Securitizations

The SEC’s Division of Corporation Finance will hold a meeting via webcast to consider whether to propose a new rule to implement Section 27B of the Securities Act of 1933, as added by Section 621 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The meeting is free, open for the public to attend, and will take place on Wednesday, January 25, 2023, at 10:00 a.m. ET. The meeting will be webcast on the SEC’s website at sec.gov. {expires: 2023-01-26} Continue reading "SEC Staff to Hold Open Meeting to Discuss..." »
Posted by
LeAnn Dey
in Events, SEC at 11:08
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