On July 29th, the SEC announced that Form N-PORT Data Sets are now available for download. Form N-PORT is used by registered investment companies (apart from money market funds and exchange-traded funds organized as unit investment trusts) to report monthly portfolio holdings. The Form N-PORT Data Sets are extracted from the eXtensible Markup Language (XML) Form N-PORT-P submissions. The data is displayed unchanged from the “as-filed” submissions and in a flattened format to provide the public with easily accessible data from registrants. The data sets include only publicly available information from filings that have been disseminated by the SEC. Continue reading "SEC Releases Form N-PORT Data Sets for Download" »

The SEC, the Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) have announced that registration is now open for the Compliance Outreach Program, an event the agencies will host together in November in Denver, Colorado. The program is designed specifically to familiarize municipal market participants, including municipal advisors and broker-dealers, with their compliance obligations. Continue reading "SEC, MSRB, FINRA to Co-Sponsor Compliance..." »

The SEC has announced that it is adopting amendments to Volume II of the EDGAR Filer Manual, Version 70, and its related rules and forms. EDGAR Release 24.2 was deployed in the EDGAR system on July 1, 2024. Continue reading "SEC Adopts Updated EDGAR Filer Manual" »

The SEC has recently adopted tailored disclosure requirements and offering processes for registered index-linked annuities (RILAs) and registered market value adjustment annuities (registered MVA annuities, and collectively with RILAs, nonvariable annuities). These new requirements include structured data disclosure mandates for Form N-4. Continue reading "SEC Adopts Tailored Registration Form for..." »