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Reporting Requirements Broker-Dealer EDGAR

Stark & Stark

SEC Launches EDGAR Next: Mandatory Enrollment Deadline Approaches

Stark & Stark on

The U.S. Securities and Exchange Commission (“SEC”) has introduced EDGAR Next, a modernization of its Electronic Data Gathering, Analysis, and Retrieval (“EDGAR”) system....more

Stinson - Corporate & Securities Law Blog

SEC Simplifies Filing of Broker-Dealer Annual Reports on EDGAR

The SEC has previously provided guidance on the filing of annual and supplemental reports required under Rule 17a-5 or Rule 17a-12 by broker-dealers or over-the-counter derivatives dealers on the SEC EDGAR system. However,...more

Troutman Pepper

Crowdfunding Regulations

Troutman Pepper on

On October 30, 2015, the Securities and Exchange Commission (SEC) adopted final crowdfunding rules. More than two years after the publication of the proposed crowdfunding rules, the SEC approved regulations that permit...more

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