News & Resources

Whether you want to read the full article, or just get a quick overview that includes what it means for you, you’ll find the latest SEC-related news here.

2025 Regulatory Agenda

SEC Chair Paul Atkins released a statement on Thursday, Sept. 4, 2025, announcing the Office of Information and Regulatory Affairs’ release of the Spring 2025 Unified Agenda of Regulatory and Deregulatory Actions. The regulatory agenda outlines the SEC’s list of forthcoming rulemakings, including those that are in the pre-rule stage, proposed rule stage, and final rule stage for Spring 2025.

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SEC Order Delays Form SHO Deadline to 2028

On December 3, 2025, the SEC issued an order providing an exemption from compliance with the short position and short activity reporting rules (Rule 10c-1a and 13f-2, respectively).  According to the order, compliance with Rule 13f-2 and Form SHO is now delayed until January 2, 2028.

EDGAR Next Enrollment Period Ending Soon

The final deadline to enroll in EDGAR Next is December 19th, 2025. Filers have until 10 p.m. ET to enroll.  After this date, filers who have not enrolled will not be able to file or access their EDGAR accounts.

Form SHO Deadline Approaches: Will It Be Delayed Again?

What happened? In the first quarter of 2025, firms were ready to comply with the […]

Filing Fees FAQ

FilePoint has prepared a set of FAQs related to wiring filing fees to assist filers when preparing for any fee-bearing forms to avoid interruptions when filing. As a reminder, as of July 31, 2025, as part of the Filing Fee Disclosure and Payment Methods Modernization Rule, all fee-bearing forms will require the fee exhibit to be tagged with iXBRL.

SEC Reopens: What to Expect After the Shutdown

The longest government shutdown in U.S. History officially ended on November 12th. Government employees are back at work, and the SEC has reopened. However, it may take time for the SEC to return to normal operations.

Funds Names Rule Amendments

Earlier this year, the SEC extended the compliance date of the Investment Company Names Rule (the “names rule”), a move that affects all registered investment companies, BDCs, current and prospective fund investors.

SEC Issues Notice Granting Dimensional Fund Advisors’ Multi-Share Class Fund Structure Request

The Securities and Exchange Commission (“SEC”) issued a notice to Dimensional Fund Advisors on September 29, 2025, granting their request to combine mutual funds and ETFs into a single investment vehicle, pending regulatory review.

SEC Guidance on Government Shutdown: What Filers Should Know

A government shutdown is in effect as of Oct. 1, 2025, and this will impact some SEC operations related to filings. As of yesterday, the Division of Corporate Finance has updated their guidance during a government shutdown.

2025 Regulatory Agenda

SEC Chair Paul Atkins released a statement on Thursday, Sept. 4, 2025, announcing the Office of Information and Regulatory Affairs’ release of the Spring 2025 Unified Agenda of Regulatory and Deregulatory Actions. The regulatory agenda outlines the SEC’s list of forthcoming rulemakings, including those that are in the pre-rule stage, proposed rule stage, and final rule stage for Spring 2025.

SEC Issues New Guidance for Closed-End Funds Investing in Private Funds

In response to a significant increase in the number of registered closed-end funds that invest in private funds (CE-FOPF), as well as the evolution of the SEC’s oversight of both registered funds and private fund advisers, the SEC announced in Accounting and Disclosure Information (ADI) stating that its staff will no longer provide comments requesting the registrant either (i) include accredited investor status and minimum investment requirements, or (ii) limit its private fund investments to 15 percent of its assets.  

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