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.

Flash Reports
24 Mar, 2025

EDGAR Next Enrollment is Officially Open

The new EDGAR Filer Management dashboard is now live. Filers have 6 months to enroll before compliance is required.

Flash Reports
02 Oct, 2024

SEC Cracks Down on Widespread Reporting Failures and Delays

On September 17, 2024, the SEC announced charges against 11 institutional investment managers for failing to file Forms 13F.

Flash Reports
01 Oct, 2024

SEC Introduces “EDGAR Next” to Enhance Security of EDGAR

On September 27, 2024, the SEC announced that it is adopting rule and form amendments concerning access to and management of accounts on the Commission’s EDGAR system. The amendments are related to certain technical changes to EDGAR (collectively referred to as “EDGAR Next”). The SEC is also amending Volume I of the EDGAR Filer Manual to accord with these changes.

SEC’s Adopted Amendments to Form N-PORT and Form N-CEN Adjust Timing and Reporting Requirements

On August 28th, 2024, the SEC (Securities and Exchange Commission) announced in a press release that it adopted amendments to Form N-PORT and Form N-CEN. These amendments are intended to provide more transparency to the SEC and to investors. These amendments will adjust some reporting and timing requirements for both forms. Details on these changes, and what you may need to know, are outlined below.

Flash Reports
12 Jul, 2024

Amendments to Form N-4 for Index-Linked Annuities, Registered Market Value Adjustment Annuities, and Variable Annuities; Other Technical Amendments

On July 1, 2024, the SEC adopted amendments to provide a tailored form to register the offerings of registered index-linked annuities.

Flash Reports
24 Apr, 2024
Tammy Lee

SEC Staff Publishes New Registered Fund Statistics Report

The staff of the Securities and Exchange Commission (SEC) published a report of Registered Fund Statistics on April 24, 2024. The report, which will be issued on a quarterly basis going forward, is the first aggregated report that reflects both the public and non-public information filed on Form N-PORT.

Flash Reports
14 Feb, 2024

Three Takeaways from the SEC’s Tailored Shareholder Reports Frequently Asked Questions

As most funds are in the throes of preparing for compliance with the new Tailored Shareholder Report (TSR) rules, the Securities and Exchange Commission (SEC) released a set of Frequently Asked Questions (FAQs) to help provide clarity on some questions the commission has received over the past several months.

Flash Reports
14 Feb, 2024

New Rule 13F-2 and Form SHO

On January 2, 2024, the Securities and Exchange Commission (“SEC”) published to the Federal Register a new rule and new Form SHO (the “Rule”) pursuant to the Securities Exchange Act of 1934 (“Exchange Act”) and the Dodd-Frank Wall Street Reform and Consumer Protection Act (“DFA”). This Rule 13f-2 will require the publication of short sale related data to investors and other market participants.

Flash Reports
15 Jan, 2024

Reminder about the “13s” due February 14, 2024

The are a number of filing deadlines coming up next month for the “13s”. Check out our flash report for a complete list of deadlines.

Flash Reports
08 Jan, 2024

EDGAR Release 23.4

On December 18, 2023, the SEC announced several changes to EDGAR Release 23.4. Of note, the Release announced a change that EDGAR will support a new taxonomy, allowing filers to comply with the “Investment Company Names” rule amendments.

Flash Reports
05 Jan, 2024

2024 General Filing Deadlines and SEC Holidays

General filing deadlines and the SEC’s Holiday Calendar.