SEC

Important updates from the SEC on EDGAR Next enrollment requirements and bulk enrollment

Theresa Jasper shares an overview of the recent SEC announcement on changes to the EDGAR Next enrollment requirements.

Theresa Jasper - Senior SEC Product Specialist

March 24, 2025

How to navigate Forms 10-K, 10-Q, 20-F, 40-F, 8-K and 6-K

Understand the significance of Form 10-K, 10-Q, 20-F, 40-F, 8-K and 6-K, and how they shape the story of a...

Toppan Merrill

March 19, 2025

EDGAR Next Frequently Asked Questions

Filers can begin EDGAR Next enrollment on March 24, 2025. The deadline to enroll and comply with the mandate is...

Toppan Merrill

February 12, 2025

SEC Releases Web Posting Requirement Guidelines

On January 17, 2025, the SEC’s Division of Investment Management released an Accounting and Disclosure Information (ADI) providing web posting...

Guy Stanzione - Director, SEC Compliance Services

January 29, 2025

SEC Releases 2025 Names Rule FAQs

On December 11, 2023, the SEC amended the Investment Company Names Rule to address certain broad categories of investment company...

Guy Stanzione - Director, SEC Compliance Services

January 21, 2025

Discussing Tailored Shareholder Report Common Issues

The Division of Investment Management’s Disclosure Review and Accounting Office (DRAO) is responsible for reviewing fund disclosures. During the monitoring...

Guy Stanzione - Director, SEC Compliance Services

January 7, 2025

EDGAR Next: How to navigate the SEC rule and requirements

On September 27, 2024, the SEC announced the EDGAR Next final rule. In this blog, Jennifer Froberg shares an overview...

Jennifer Froberg - Sr SEC Product Specialist

October 14, 2024

Important Update: After-hours filings status change for fee bearing submissions effective September 16, 2024

The SEC has issued an update regarding a status change for after-hours fee-paying filings, which will take effect in September...

Theresa Jasper - Senior SEC Product Specialist

October 14, 2024

Schedule 13D and Schedule 13G: Key challenges and considerations for the XML mandate

The new SEC mandate requiring Schedule 13D and 13G filings to be submitted in an XML format, effective December 18,...

Eva Schaeffer

October 9, 2024

Podcast: RILA Rulemaking: The Highs, The Lows, and The Unknown

On The Dot (Episode 7) - A conversation with Guy Stanzione discussing the highs, the lows, and questions to be...

Guy Stanzione - Director, SEC Compliance Services

October 1, 2024