Events listed in SEC Regulations
Adoption of Updated EDGAR Filer Manual
ID 26335
The U.S. Securities and Exchange Commission (SEC) has finalized revisions to the EDGAR (Electronic Data Gathering, Analysis, and Retrieval system) filer manual. The amendments are thereby approved and effective immediately, and are incorporated into Statutory Instrument 17 CFR Part 232 by reference. The revisions follow latest regulatory changes and corresponding modifications to the EDGAR system, which is used by individuals and entities to electronically ...
SEC Announces Enforcement Results for Fiscal Year 2023
ID 25802
The U.S. Securities and Exchange Commission, SEC, has published a press statement outlining the Commission’s enforcement results for the previous fiscal year 2023. The statement thereby describes actions taken by the Commission against financial institutions, issuers and / or individuals engaged in the financial market for violating existing U.S. securities regulations. The SEC thereby obtained orders for nearly $5 billion in financial remedies, including ...
SEC Approves Revised Privacy Act Rule
ID 25014
Following a corresponding consultation in February this year (EventID 19805), the U.S. Securities and Exchange Commission has now published its final amendments to the SEC’s so-called „Privacy Act Rule“ (17 CFR Part 200 – Subpart H) which stipulates requirements as to the access to and the provision and request of information that is held by the SEC about an individual. The final modifications will ...
SEC Proposes to Expand and Update Regulation SCI
ID 22286
In view of the increasing interconnectedness of financial systems and the risks to financial stability, if financial infrastructures are disrupted, the U.S. Securities and Exchange Commission (SEC) has published another press release to announce an upcoming consultation on planned revisions to Regulation SCI (17 CFR Part 242, §242.1000 ff.). Regulation SCI was introduced in 2014 in response to securities markets being increasingly dependent on ...
SEC Proposes Revision to Privacy Act Rule
ID 21869
The U.S. Securities and Exchange Commission, SEC, has published a press statement to announce an upcoming consultation on proposed revisions to the SEC’s so-called „Privacy Act Rule“ (17 CFR Part 200 – Subpart H) which stipulates requirements as to the access to and the provision and request of information that is held by the SEC about an individual. The rule also sets out requirements ...