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.

Form SHO Deadline Pushed Back to 2026

The SEC issued a press release on Friday, February 7th, with a decision to provide a temporary exemption from compliance with Rule 13f-2 and Form SHO reporting until 2026. As a result of the exemption, the first reporting period will now be January 2026.

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Form SHO Deadline Pushed Back to 2026

The SEC issued a press release on Friday, February 7th, with a decision to provide a temporary exemption from compliance with Rule 13f-2 and Form SHO reporting until 2026. As a result of the exemption, the first reporting period will now be January 2026.

New Filing Fee Fedwire Payment Format in EDGAR Effective March 10, 2025

The SEC released an announcement on February 7, 2025 that Fedwire Funds services will transition to the ISO 20022 message format starting on March 10, 2025.

SEC Posts 2025 Names Rule FAQs

On January 8, the SEC’s Division of Investment Management issued new FAQs on the Investment Company Names Rule, which was amended in 2023. These amendments aim to increase shareholder protection by increasing the scope of funds required to adopt a policy to invest at least 80% of its assets based on the investment approach suggested by the fund name, as well as notice and recordkeeping requirements related to these policies.

Notice: EDGAR Will be Closed January 9

The EDGAR system will be closed on Thursday, January 9, 2025, as a mark of respect for James Early Carter, Jr., pursuant to President Biden’s recent executive order, according to an announcement from the SEC.

FilePoint 2025 Annual Calendar

2025 General filing deadlines and the SEC’s Holiday Calendar.

SEC Publishes Common Issues in Tailored Shareholder Reports

On November 8, 2024, the SEC’s Division of Investment Management’s Disclosure Review and Accounting Office (DRAO) published key takeaways based on their review and monitoring of tailored shareholder report implementation. The staff has identified several recurring issues in this report.

The Division of Investment Management’s Disclosure Review and Accounting Office Publishes Takeaways on Common Issues Found in Review of Tailored Shareholder Reports

On November 8, 2024, the SEC’s Division of Investment Management’s Disclosure Review and Accounting Office (DRAO) published key takeaways based on their review and monitoring of Tailored Shareholder Report (TSR) implementation. The staff has identified several recurring issues in this report.

N-PX: Our Three Main Takeaways (and things you may want to consider in advance of July 2025)

If you were involved in the latest round of Form N-PX filings, then you may have learned a thing or two about what goes into this updated process.

2025 Peak Filing Volume Dates for EDGAR

On October 22, 2024, the SEC announced the peak filing volume dates for the 2025 calendar year.

Form SHO: Draft Taxonomy, Scope, and Reporting Requirements

January 2025 is the first month that must be monitored, and if thresholds are crossed then the first Form SHO filing will be due February 14, 2025.

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