News & Resources: EDGAR

EDGAR Filing Requirements and Form 144 Filings

As part of the U.S. Securities and Exchange Commission’s Final Rule on Updating EDGAR Filing Requirements and Form 144 Filings, reporting companies are required, with compliance dates beginning on January 11, 2023, to submit certain documents electronically, including “glossy” annual reports, notices of exempt solicitations and preliminary roll-up communications, and notices of sales of securities of certain issuers.

Temporary Changes to Document Retention Requirements

The SEC recently issued a statement temporarily amending certain SEC document retention requirements.

New Proposed Rule to Affect EDGAR Filing System

The SEC proposed a new rule under Regulation S-T, Rule 15, which aims to make the EDGAR filing process more efficient, consistent, and reliable.

The SEC Issues Regulatory Relief Amid Form ID and Notarization Challenges

the SEC acknowledged in an announcement that it is aware of challenges with meeting certain requirements for initial access to the EDGAR filing system.

SEC Issues Additional Relief Due to COVID-19 Obstacles

the SEC expanded on a recently released relief package to extend due dates for certain filings and documentation.

How and Why to File Form N-LIQUID

The fluctuating circumstances caused by the COVID-19 virus may affect funds’ liquidity, triggering some of the SEC’s liquidity risk management initiatives.

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