February 6, 2025 – SEC changed the start date of the Form SHO Short Positions and Activity Disclosure requirement (Rule 13f-2). It is now effective starting January 2026.
January 2, 2025 – Institutional Investment Managers that meet certain reporting thresholds must now disclose certain short position and activity data by filing Form SHO on EDGAR under SEC Rule 13f-2, starting with calendar month January 2025. This form must be filed electronically within 14 calendar days after the end of each calendar month, with the first filing due February 14, 2025.
August 28, 2024 – SEC amended reporting requirements on Forms N-PORT and N-CEN that apply to certain registered investment companies, including open-end funds, closed-end funds, and unit investment trusts, requiring more frequent reporting of monthly portfolio holdings, and expanding disclosure requirements.
July 1, 2024 – Registered Management Investment Companies and Institutional Investment Managers must now disclose their proxy voting record by filing SEC Form N-PX on EDGAR, containing data for the most recent 12-month period ended June 30. This form must be filed electronically, no later than August 31 of each year.
March 19, 2024 – SEC proposed new rules aimed at modernization of Share Repurchase disclosures.
March 6, 2024 – SEC proposed rules requiring disclosure of registrants’ climate-related risks that may impact its business strategy, results of operations, or financial condition, as well as disclosures related to severe weather events and other natural conditions. These disclosures will be required in registrants’ audited financial statements.
February 8, 2024 – SEC introduced amendments to Form PF, the confidential reporting form for certain SEC-registered investment advisers to private funds.
October 13, 2023 – SEC announced the adoption of new Rule 13f-2 and new Form SHO requiring disclosure of short data. Institutional investment managers that meet or exceed certain specified reporting thresholds will be required to report, on a monthly basis, specified short position and short activity data for equity securities.
October 10, 2023 – SEC introduced amendments to rules governing beneficial ownership reporting, shortening filing deadlines for Schedules 13D and 13G and requiring that these forms be filed in XML rather than the existing HTML format.
September 29, 2023 – SEC introduced amendments to Form N-4 for Index-Linked and Variable Annuities, to provide a tailored form for registering offerings.
September 33, 2023 – SEC proposed a major overhaul of how EDGAR filers will access EDGAR and manage their accounts to submit filings, referring to the new framework as EDGAR NEXT. Under the new system, filers will need to authorize and maintain designated individuals as account administrators, who will require individual account credentials through an approved authentication mechanism such as Login.gov.
July 26, 2023 – SEC introduced new disclosure requirements regarding cybersecurity risk management, strategy, governance, and incidents by public companies, as well as periodic disclosures about a registrants processes to assess, identify, and manage material cybersecurity risks. These disclosures must include Inline XBRL (iXBRL) tagging.
July 12, 2023 – SEC amended certain reporting requirements on Form N-MFP, Form N-CR, Form N-1A and Form PF to reflect amendments to the regulatory framework for money market funds. Additionally, the Commission adopted two technical amendments to Form N-CSR and Form N-1A to correct errors.
January 3, 2023 – SEC updated the requirements for Form 13-F submissions, as earlier announced on June 23, 2022. Filers may now include the FIGI identifier to identify their securities in addition to the CUSIP, and must report market values of securities in dollars (without rounding to 1000’s).
October 18, 2022 – SEC announced that Form 144 reporting company filers (who have currently been reporting sales of securities on paper) have until April 13, 2023 to transition to the new electronic filing process. Additional details can be found here. Filers who do not yet have EDGAR Access codes for electronic filing must obtain them as soon as practical.
October 12, 2022 – SEC released an updated EDGAR Filer Manual with an effective date of October 13, 2022. Items addressed in this update include recent changes related to forms 13-F, 144, 40-APP, 40-OIP, 40-6B, N-MFP and N-CEN, and inclusion of the 2022Q3 supplemental US-GAAP and other SEC Reporting XBRL taxonomies.
October 6, 2022 – SEC has released the 2022 Q3 13-F Securities list. It may be downloaded here. 13-F filers may now scrub their holdings against this list to complete their 2022 Q3 13-F filings. The filing deadline is November 14, 2022.
October 1, 2022 – The SEC has proposed that Executive Compensation disclosures in financial reports be tagged using Inline XBRL, and accordingly has posted their draft Executive Compensation Disclosure (ECD) Taxonomy, and a Draft Taxonomy Guide. Public companies will need to comply as early as April 2023.
August 1, 2022 – Large accelerated (A2) and Well-known Seasoned Issuer (WKSI) Closed-end Funds (CEFs) must now include Inline XBRL tagging in Form N-CSR filings, with other filer categories to be phased in.
June 23, 2022 – The SEC announced changes to Form 13-F filing requirements that will become effective at the start of 2023. These changes relate to Confidential Treatment requests, as well as reporting details such as CRD and SEC File number requirements, optional reporting of FIGI in addition to CUSIP, and rounding of dollar values.
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