SEC NEWS

Latest News from the
Securities & Exchange Commission

EDGARLink Online Document Attachment Capabilities

June 9, 2021 - Effective June 9, 2021, EDGARLink Online permits filers to attach multiple documents simultaneously to EDGAR submissions, if the filer is using an internet browser other than Internet Explorer.

If the filer is using Internet Explorer, the filer must attach documents one at a time to EDGAR submissions.

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SEC Announces Form Types that are No Longer Accepted

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May 10, 2021 - As of May 10, 2021, the SEC no longer accepts the following form types via EDGAR:

  • N-Q (and amendments)
  • NSAR-A (and amendments)
  • NSAR-AT (and amendments)
  • NSAR-B (and amendments)
  • NSAR-BT (and amendments)
  • NSAR-U (and amendments)
  • NT-NSAR (and amendments)

New Exhibits for Regulation A Form Types

January 4, 2021 - Effective January 4, 2021, EDGAR will update Regulation A form types to permit filers to identify subsidiaries that provide guarantees. Filers will have the option to attach new exhibits on form types DOS, DOS/A, 1-A, 1-A/A, 1-A POS, 1-K, 1-K/A, 1-SA, 1-SA/A, 1-U and 1-U/A.

The new exhibits to be added are:

  • “EX1A-17 GNTR/ISSR” on form types DOS, DOS/A, 1-A, 1-A/A and 1-A POS
  • “EX1K-17 GNTR/ISSR” on form types 1-K and 1-K/A
  • “EX1SA-17 GNTR/ISSR” on form types 1-SA and 1-SA/A
  • “EX1U-17 GNTR/ISSR” on form types 1-U and 1-U/A

The exhibits to be removed are:

  • “EX1A-15 ADD EXHB” from DOS, DOS/A, 1-A, 1-A/A, and 1-A POS form types
  • “EX1K-15 ADD EXHB” from 1-K and 1-K/A form types
  • “EX1SA-15 ADD EXHB” from 1-SA and 1-SA/A form types
  • “EX1U-15 ADD EXHB” from 1-U and 1-U/A form types
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Addition of new checkbox on cover page of Forms 10-K, 20-F, 40-F and
acceptance of electronic/remote online notarizations, which includes
electronic signatures for Form ID’s

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December 14, 2020 - EDGAR 20.4 was released by the Securities & Exchange Commission (“SEC”). This release includes a new checkbox on the cover page of Forms 10-K, 20-F and 40-F to disclose whether a company has obtained an internal control over financial reporting (“ICFR”) auditor attestation under Section 404(b) of the Sarbanes-Oxley Act.

Other changes include acceptance of electronic notarizations and remote online notarizations, which include electronic signatures, in connection with the Form ID application.

2021 SEC EDGAR Calendar – Deadlines and Holidays

November 23, 2020 - The SEC announced 2021 EDGAR peak filing dates and federal holidays.

Filers should plan their filings accordingly as EDGAR filing volume on peak days tends to be highest in the hour prior to the end of the filing day.

On federal holidays, the SEC will not receive, process or accept filings through the EDGAR system.

We offer a downloadable version of the 2021 Securities & Exchange Commission (“SEC”) calendar on our website here.

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SEC Announces EDGAR Filing Fee Rate for Fiscal Year 2021

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October 1, 2020 - The SEC has announced a new EDGAR filing fee rate for filings made pursuant to Section 6(b) of the Securities Act of 1933 and Sections 13(e) and 14(g) of the Securities Exchange Act of 1934.

The new fee rate for 10/01/2020 – 09/30/2021 is $109.10 per $1,000,000.

The filing fee rate is calculated by multiplying the aggregate offering amount by 0.00010910.

SEC Announces Form Types that are No Longer Accepted

September 21, 2020 - As of September 21, 2020, the SEC no longer accepts the following form types via EDGAR:

  • N-1
  • N-1/A
  • N-27E-1
  • N-27E-1/A
  • N-27F-1
  • N-27F-1/A
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