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  • FINRA announces electronic filing amendments

    Federal Issues

    On July 20, FINRA announced that it has amended its rules to permit, and in some cases to require, electronic service and filing of documents in disciplinary and other proceedings and appeals. FINRA also announced that it amended its rules to require parties in proceedings before the Office of Hearing Officers to file and serve the parties with their current email address and contact information at the time of their first appearance, and to file and serve any change in email address or contact information during the course of the proceeding. The amendments are effective August 22.

    Federal Issues FINRA Electronic Filing

  • SEC publishes final rule modernizing electronic filings

    Securities

    On June 24, the SEC announced a final rule to require certain documents filed by investment advisers, institutional investment managers, and certain other entities be submitted electronically—a change that is “intended to promote efficiency, transparency, and operational resiliency.” Among other things, the final rule requires the electronic filing or submission of: (i) applications for orders under the Advisers Act on EDGAR; (ii) confidential treatment requests for Form 13F filings on EDGAR; and (iii) Form ADV-NR (through the IARD system).

    The SEC also released a Fact Sheet further explaining the final rule and what is required. According to a statement released by SEC Chair Gary Gensler, “these amendments benefit filers, investors, and the SEC” as “it is important for filers to have easy, online methods to submit information to the Commission, and where appropriate for investors to have easy, online access as well.”

    Securities Electronic Filing EDGAR SEC

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