Monday, March 21. 2022

New Release (5.12c) for the GoFiler Family of Products

Version 5.12c of all applications in the GoFiler Suite has been released. This release contains corrections and improvements to Form 24F View, Form N-CEN View, XDX and iXBRL. This release also contains some improvements for the 13F CUSIP tools.

Continue reading "New Release (5.12c) for the GoFiler Family of..." »
Posted by
The Novaworks Team
in GoFiler Updates, Novaworks News at 17:42

Friday, March 18. 2022

SEC Announces Registration for Virtual 2022 Small Business Forum

The SEC’s Office of the Advocate for Small Business Capital Formation will host the 41st Annual Government-Business Forum on Small Business Capital Formation, which is held annually in accordance with the Small Business Investment Incentive Act of 1980. The forum is an event for members of the public and private sectors, including entrepreneurs, investors, and other leaders, to gather and discuss capital raising and develop suggestions for policy impacting emerging businesses and their investors. The remote meeting will take place April 4-7, with each session beginning at 1:00 p.m. ET each day and lasting 90 minutes.{expires: 2022-04-08}

Continue reading "SEC Announces Registration for Virtual 2022..." »
Posted by
LeAnn Dey
in Events, Investor Education, SEC at 10:20

Thursday, March 17. 2022

SEC Staff to Hold Meeting to Discuss Proposing Amendments to Improve Climate-Related Disclosures

The SEC’s Division of Corporation Finance and the Office of the Chief Accountant will host a meeting via webcast on sec.gov to discuss and consider whether to propose amendments that would enhance and standardize climate-related disclosures for investors. The meeting is free, open for the public to attend, and will take place on Monday, March 21, 2022 at 11:00 a.m. ET. {expires: 2022-03-22} Continue reading "SEC Staff to Hold Meeting to Discuss Proposing..." »
Posted by
LeAnn Dey
in Events, Investor Education, SEC at 13:55

Wednesday, March 16. 2022

SEC Extends Interactive Data Rule, Seeks Comment

On March 3rd, the SEC announced that it is requesting feedback on interactive data collection. Issuers filing registration statements under the Securities Act of 1933 and reports under the Securities Exchange Act of 1934 are required to submit specified financial information to the SEC and post it on their corporate websites in an interactive data format using XBRL. The interactive data requirement is designed to simplify investors’ ability to evaluate financial information and to help issuers automate regulatory filings and business information processing. The SEC is seeking feedback on the burden of these requirements, as well as the quality of the interactive data itself. Continue reading "SEC Extends Interactive Data Rule, Seeks Comment" »
Posted by
LeAnn Dey
in Filing Technology, SEC, XBRL at 09:59

Tuesday, March 15. 2022

SEC Announces Proposed Short Sale Disclosure Rule, Order Marking Requirement, and CAT Amendments and Reopens Comment Period for Proposed Rule 10c-1

The SEC has announced that it is proposing new Rule 13f-2 and related Form SHO pursuant to the Securities Exchange Act of 1934. Section 13(f)(2) of the Exchange Act was added by Section 929X of the Dodd-Frank Wall Street Reform and Consumer Protection Act. These changes would provide greater transparency to investors and regulators through increasing the public availability of short sale related data by requiring certain institutional investment managers to report short sale related information. The SEC then would release aggregate data about large short positions, including daily short sale activity data, to the public for each individual security. Continue reading "SEC Announces Proposed Short Sale Disclosure..." »
Posted by
LeAnn Dey
in EDGAR News, Investor Education, SEC at 15:31

Monday, March 14. 2022

SEC Proposes Reforms to Two Whistleblower Program Rules

On February 10th, the SEC announced that it is proposing amendments to Rules 21F-3 and 21F-6 of the Exchange Act of 1934, which governs the SEC’s whistleblower program. Under the Exchange Act, monetary awards are issued to eligible whistleblowers who voluntarily report original information pertaining to a securities law violation that leads to the SEC’s success in obtaining a monetary order greater than one million dollars in a covered judicial or administrative action brought by the SEC. The valuable tips provided to the SEC help the agency fight wrongdoing and better protect investors and the marketplace. Continue reading "SEC Proposes Reforms to Two Whistleblower..." »
Posted by
LeAnn Dey
in Investor Education, SEC at 13:30

Friday, March 11. 2022

SEC Proposes Rules to Increase Transparency Regarding Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure

On March 9th, the SEC announced that it is proposing rules designed to improve and allow for more timely standardized disclosures regarding cybersecurity risk management, strategy, governance, and the reporting of cybersecurity incidents by public companies that must comply with the reporting requirements under the Securities Exchange Act of 1934. Increased cybersecurity disclosures would provide investors with information needed to consider which risks to take. Continue reading "SEC Proposes Rules to Increase Transparency..." »
Posted by
LeAnn Dey
in Information Technology, SEC at 14:19

Tuesday, March 08. 2022

GoFiler Online Now Supports Form 24F-2

Last month, Form 24F-2NT was updated to a modern, structured format with the release of EDGAR 21.3. Previously filed as ASCII text, Form 24F-2NT is used by the SEC to validate registration fees paid by issuers. Because the form was filed in plain text, there was a wide range of quality and readability issues. Some filings were formatted nicely while others were difficult to read. By moving to a structured format, filers can provide all of the same information in a standardized form that can be easily read by machines and rendered for viewing by humans. Continue reading "GoFiler Online Now Supports Form 24F-2" »
Posted by
The Novaworks Team
in GoFiler Online Updates, SEC Filing Help at 10:56

Thursday, March 03. 2022

XBRL US to Host Webinar with SEC to Discuss Fee-Based Filing & Payment Methods Modernization

XBRL US’ Data Quality Committee (DQC) will host a virtual Q&A-style discussion with the SEC on Filing Fee Disclosures and Payment Methods Modernization, the final rule which comprises new requirements that will impact many reporting entities and SEC submissions. Speakers from the SEC’s Office of Financial Management and its Division of Corporate Finance will cover topics related to disclosure, technical and general issues pertaining to the rule. The webinar will take place on Tuesday, March 22, from 3:00 p.m. to 4:00 p.m. ET and will be moderated by Scott Theis, chairman of the XBRL US Domain Steering Committee and Novaworks’ President. {expires: 2022-03-23} Continue reading "XBRL US to Host Webinar with SEC to Discuss..." »
Posted by
LeAnn Dey
in Data Quality Committee, Events, Filing Technology, XBRL at 10:30

Tuesday, March 01. 2022

Senate Energy and Natural Resources Full Committee to Hold Hearing To Assess FERC’s Recent Guidance On Natural Gas Pipelines

The FERC announced that the Senate Energy and Natural Resources Committee will convene a hearing on Thursday, March 3, 2022, at 10:00 a.m. ET. The Committee will review and discuss recent actions of the FERC related to allowing construction and operation of interstate natural gas pipelines and other natural gas infrastructure projects. {expires: 2022-03-04} Continue reading "Senate Energy and Natural Resources Full..." »
Posted by
LeAnn Dey
in Events, FERC at 10:10

Monday, February 28. 2022

SEC Announces Proposed Cybersecurity Risk Management Rules and Amendments for Registered Investment Advisers and Funds

On February 9th, the SEC announced that it is proposing new rules and amendments under the Investment Advisers Act of 1940 and the Investment Company Act of 1940 that are intended to both improve cybersecurity readiness and bolster investor confidence in the resilience of investment advisers and investment companies against threats and attacks to cybersecurity. Continue reading "SEC Announces Proposed Cybersecurity Risk..." »
Posted by
LeAnn Dey
in Information Technology, Investor Education, SEC at 13:32

Thursday, February 24. 2022

Quickly and Easily Migrate Your Process for 24F to XML

The latest version of GoFiler (5.12b) now includes a Form 24F-2NT legacy import. This function allows old annual report information documents to be easily added to a new 24F-2NT XML form and has been developed to supplement the existing CSV import.

Continue reading "Quickly and Easily Migrate Your Process for 24F..." »
Posted by
The Novaworks Team
in Filing Technology, Novaworks News at 13:41

Wednesday, February 23. 2022

SEC Announces Proposal to Reduce Risks in Clearance and Settlement

On February 9th, the SEC announced that it is proposing new rules and amendments intended to protect investors by reducing risks in the clearance and settlement of securities. The revisions would increase operational efficacy by shortening time between the execution of securities transaction and its settlement. The proposed rule would decrease the standard settlement cycle for the majority of broker-dealer transactions from two business days after the trade date (“T+2”) to one business day after the trade date (“T+1”).

Continue reading "SEC Announces Proposal to Reduce Risks in..." »
Posted by
LeAnn Dey
in Investment Management, Investor Education, SEC at 11:13

Tuesday, February 22. 2022

New Release (5.12b) for the GoFiler Family of Products

Version 5.12b of all applications in the GoFiler Suite has been released. This contains a number of corrections and improvements to the new Fee Table Included and EX-FILING FEES exhibit as well as improvements to the Form 24F View. As part of the improvements for Form 24F-2NT, this release also introduces a new feature to import legacy text (ASCII) filings directly into the Form 24F annual filing information. This release also contains some improvements for XDX and the iXBRL preview function.

Continue reading "New Release (5.12b) for the GoFiler Family of..." »
Posted by
The Novaworks Team
in GoFiler Updates, Novaworks News at 17:37

SEC Proposes New Rules to Boost Private Fund Investor Protection

On February 9th, the SEC announced that it is proposing new rules and amendments under the Investment Advisers Act of 1940 (Advisers Act) to improve the oversight of private funds and their advisers in the $18-trillion marketplace.

Continue reading "SEC Proposes New Rules to Boost Private Fund..." »
Posted by
LeAnn Dey
in SEC at 09:46
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