The SEC will be closed Monday, September 7th in observance of Labor Day. The EDGAR System will not receive, process or accept filings on this day. Filings with a due date of September 7 will be due the following business day.
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On August 24th, the SEC proposed a new rule to aid in its administration of EDGAR. This new rule (Regulation S-T Rule 15 under General Rules and Regulations for Electronic Filings) should allow the SEC to continue to promote the integrity and reliability of EDGAR submissions at a time when submissions to the system are rapidly increasing in volume.
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Version 5.4b of all applications in the GoFiler Suite has been released. This release contains additional protections and features to deal with the EDGAR system issues that are occurring for many filers. Additionally, this release has a new Tidy HTML function and new processing in XDX to override the presentation on which facts created by an engram will appear. There have also been a number of improvements to the general application to further improve the handling of large files or files with long lines and to reorganize tools on the Edit Ribbon.

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Recently the SEC has been deploying significant technical upgrades to the EDGAR system. As a result, there have been unexpected performance issues which are inconveniencing filers. The SEC is aware of these issues and is working to resolve them.
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On August 5th, the SEC proposed comprehensive modifications to the mutual fund and exchange-traded fund disclosure framework. These funds are registered on Form N-1A (called “open-end funds”). The proposed disclosure framework would feature concise and visually engaging shareholder reports that would highlight pertinent information that retail investors use to monitor their fund investments. As a central component of the SEC’s investor experience initiative, the proposal responds to comments the SEC received in 2018 concerning retail investors’ experience with fund disclosure. Continue reading "SEC Proposes to Modernize Fund Shareholder..." »

Please be aware that there are two significant issues that are currently affecting filers: a) issues with HTML code generated by software other than GoFiler that can result in data loss if the HTML code contains no line returns; and b) SEC changes to the EDGAR system that are affecting the filing and acceptance response time and performance. The first issue has been addressed in a hotfix for GoFiler, which you can download and install by following the instructions in this notice. The second is not a problem with GoFiler but rather a general problem with the SEC changes to the EDGAR system. More information on that is also available in this notice.

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Version 5.4a of all applications in the GoFiler Suite has been released. This release corresponds to EDGAR 20.2 and contains a number of corrections and improvements for Page View, XDX View (both US GAAP and Risk Return), N-PORT View and Submission View. There have also been a number of improvements to the general application to improve the handling of large files or files with long lines.

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The SEC will be closed Friday, July 3 in observance of Independence Day. The EDGAR System will not receive, process or accept filings on this day. Filings with a due date of July 3 will be due the following business day. Continue reading "SEC Closed Friday, July 3" »

The SEC has indicated on July 2nd that there are ongoing technical difficulties with accessing the EDGAR system. Their EDGAR technical teams are actively working to resolve the issues, and updates will be provided as soon as they are available. UPDATE: The SEC has announced EDGAR will be unavailable to the public from approximately 1:00 p.m. to 1:30 p.m. ET today, July 2nd, for technical repair. Filers should ensure that they do not attempt to submit or have submissions in process during this time.
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On July 1st, Temporary Final Rule 10(c) expires. This rule was enacted by the SEC on March 26, 2020 to temporarily amend Rule 10 of Regulation S-T to provide relief from the notarization requirements for EDGAR access requests, subject to certain conditions. The rule was enacted as part of relief efforts due to the ongoing COVID-19 pandemic. July 1st is the final day to rely on Temporary Final Rule 10(c) to apply for EDGAR access.
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The SEC reminds filers who have taken advantage of temporary relief measures regarding access to the EDGAR system that the required notarized authentication document must be submitted within 90 days of submitting the access application. This temporary relief (Temporary Final Rule 10(c)) was enacted because of the ongoing impacts of the COVID-19 pandemic which may have made it difficult for filers to obtain notarized documentation in a timely fashion.
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Version 5.3c of all applications in the GoFiler Suite has been released. This release contains a new Prospectus Wizard for creating Risk Return documents using XDX as well as improvement to HTML importing. Additionally, some changes were made to Form D View and Form N-PORT View.

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The SEC will be closed Monday, May 25 in observance of Memorial Day. The EDGAR System will not receive, process or accept filings on this day. Filings with a due date of May 25 will be due the following business day. Continue reading "SEC Closed Monday, May 25" »

The Financial Accounting Standards Board (FASB) has published Proposed Accounting Standards Update-Revenue from Contracts with Customers (Topic 606) and Leases (Topic 842): Effective Dates for Certain Entities and the related release notes for public comment. The FASB has indicated that these changes to the accounting standards would not require any changes to the US GAAP Financial Reporting Taxonomy.
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The SEC has announced that the Division of Investment Management is extending the EDGAR filing window on April 29, 2020 from 5:30 pm to 10:00 pm EDT. This extension applies to registered investment companies and business development companies. The extension is intended to help ameliorate the potential filing delays due to the ongoing impacts of the COVID-19 pandemic. Continue reading "EDGAR Filing Window Extension on April 29, 2020..." »