Events listed in Securities Act of 1933
Registration under 1933 act of securities of unit investment trusts registered on ...
ID 26413
The U.S. Securities and Exchange Commission (SEC) has published new Form S-6 – the „facing sheet“ which will be valid through June 30, 2026 unless otherwise modified before. The form – in general – must be filed by unit investment trusts (UITs) or their underwriters, if they intend to offer and sell securities to the public and seeks information on a trust’s portfolio management ...
SEC Approves 2024 PCAOB Budget and Accounting Support Fee
ID 26235
The U.S. Securities and Exchange Commission has issued an order to approve the 2024 budget and the so-called accounting support fees of the Public Company Accounting Oversight Board (PCAOB) which is responsible for overseeing and regulating the auditing of public companies and their financial reports to protect investors and enhance the integrity of financial markets. The accounting support fees is relevant for issuers and ...
Prohibition Against Conflicts of Interest in Certain Securitizations
ID 26122
As previously announced by the U.S. Securities and Exchange Commission (SEC) on November 27, 2023 (EventID 24177), the Commission has now published in the Federal Register its final rule to prohibit asset-backed securitization participants including sponsors, underwriters, or placement agents to engage in certain transactions that may cause a conflict of interest between themselves and investors in an ABS. As outlined in the rule, ...
SEC Adopts Rule to Prohibit Conflicts of Interest in Certain Securitizations
ID 25935
Following a corresponding consultation earlier this year (please see EventID 19373 in this context), the U.S. Securities and Exchange Commission has announced the adoption of a final rule to enhance the conflicts of interest requirements pertaining to securitizations. To recall, the Commission sought to implement a new rule under the Securities Act of 1933, namely 17 CFR Part 230 § 230.192, to prohibit sponsors, ...
Registration for Index-Linked Annuities; Amendments to Form N-4 for Index-Linked ...
ID 25334
As previously announced on September 29, 2023 (EventID 23289), the U.S. Securities and Exchange Commission, SEC, has now published in the Federal Register its consultation on proposed amendments in connection with the registration of index-linked annuities (RILAs). RILAs are annuities that typically provide some principal protection while offering the potential for growth tied to the performance of a stock market index. As RILAs can ...
SEC Proposes Tailored Registration Form for Offerings of Registered Index-Linked ...
ID 25152
The U.S. Securities and Exchange Commission, SEC, has published a press statement to inform of an upcoming consultation in connection with offerings of registered index-linked annuities (RILAs). RILAs are annuities that typically provide some principal protection while offering the potential for growth tied to the performance of a stock market index. As RILAs can have various forms and designs, for instance with caps on ...
EDGAR Filer Access and Account Management
ID 25051
As previously announced by the U.S. Securities and Exchange Commission (SEC) (EventID 23010), the Commission has now published in the Federal Register (FR) its consultation on proposed changes to the Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system, which is used by individuals and entities to electronically submit filings required by various federal securities laws, including the Securities Act of 1933, the Securities Exchange ...
SEC Proposes Improvements to EDGAR Filer Access and Account Management
ID 24932
The U.S. Securities and Exchange Commission has published a press statement to inform of an upcoming consultation on proposed changes to the Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system, which is used by individuals and entities to electronically submit filings required by various federal securities laws, including the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of ...
Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure
ID 24571
Following the announcement of finalized regulation concerning the publication of information on cybersecurity incidents by public companies and on policies and procedures that firms have in place to manage related risks (please see EventID 22504 in this context for a detailed description of the final regulation), the Securities and Exchange Commission (SEC) has now published this final rule in the Federal Register. In brief, ...
SEC Adopts Rules on Cybersecurity Risk Management, Strategy, Governance, and ...
ID 24392
The U.S. Securities and Exchange Commission has published a press statement to announce the finalization of new regulation as regards the publication of information on cybersecurity incidents and on policies and procedures that firms have in place to manage risks in this context. The final rule thereby applies to registration filings, periodic publications of public companies, and shareholder notifications under Regulation S-K and *Regulation ...