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
08 Jun, 2026

Cancellation of June 2026 EDGAR Release

SEC staff has canceled EDGAR software release 26.2, which had previously been planned for June 15, 2026.

Flash Reports
22 Aug, 2023

Open-End Fund Liquidity Risk Management Programs, Swing Pricing, and Form N-PORT

On November 2, 2022, the SEC proposed amendments to improve liquidity risk management programs (“LRMP”) and utilize swing pricing for the adjustment of net asset values on a per share basis.

Flash Reports
21 Aug, 2023
Kate Parker

Investment Company Names

On May 25, 2022, the SEC proposed amendments to address certain categories of investment company names that are likely to mislead investors about an investment company’s investments and risks.

Flash Reports
31 Jul, 2023
Kate Parker

Form NPX Amendments: What You Need to Know

the SEC adopted amendments to Form NPX filings to make proxy voting disclosures more useful and informative for investors. This high-level overview of the changes, including who it affects, timing, and best practices, might be helpful as you prepare for the effective date.

Flash Reports
10 Jul, 2023

Electronic Delivery Bill

On April 26, 2023, the House of Representatives – Financial Services Committee introduced a bill regarding the electronic delivery of certain disclosures.

Flash Reports
29 Jun, 2023

General Filing Deadlines and SEC Calendar Holidays

General filing deadlines and the SEC’s Holiday Calendar.

Flash Reports
26 Jun, 2023

Modernization of Beneficial Ownership Reporting

On February 10, 2022, the SEC proposed amendments to certain rules that govern beneficial ownership reporting. The amendments include revising filing deadlines for initial and amended reports filed on Schedules 13D and 13G, clarifying and affirming rules as applied to two or more persons that form a group under the Securities Exchange Act of 1934, and requiring submissions to be in XML format.

Flash Reports
24 May, 2023

Share Repurchase Disclosure Modernization for Listed Closed-End Funds

On May 3, 2023, the SEC adopted amendments to an issuer’s repurchase program and its share repurchases, requiring the filing of daily quantitative repurchase data either quarterly or semi-annually.

Flash Reports
15 May, 2023

The SEC’s Draft Open-End Fund Taxonomy Guide: What You Need to Know

On May 4, 2023, the U.S. Securities and Exchange Commission shared a draft version of the Open-End Fund (OEF) taxonomy and taxonomy guide to provide additional guidance on this aspect of the Tailored Shareholder Reports (TSR) rule.

News
03 Apr, 2023

Reintroducing FilePoint

Today, FilePoint launched a new brand including a new logo, new website, and new look and feel.

Resources
30 Mar, 2023

Form NPX Amendments

Enhanced Reporting of Proxy and Executive Compensation Votes