📄SEC Notice on Form 11-K Extension and Business Implications
The Securities and Exchange Commission has submitted a request for an extension of Form 11-K, which is required for employee stock purchase and savings plans. The form provides necessary financial information for employees, and its reporting requirements are essential for issuers under the Securities Act. The notice also outlines the burden hours and costs associated with the form submissions.
Learn More📊SEC Requests Comments on Form 12b-25 Extension for Late Filings
The Securities and Exchange Commission has submitted a request for extension of Form 12b-25, which notifies the Commission and the market about late filings of reports. The form allows for an automatic extension if conditions are met and supports compliance with relevant securities laws. Comments on this information collection are invited to assess its utility and burden.
Learn More📄SEC Requests Comments on Form 8-A Registration Process
The SEC is soliciting comments on a proposed collection of information related to Form 8-A, a registration statement for securities. This form is essential for businesses registering shares under the Securities Exchange Act. Comments on the collection process and its practical utility are welcomed within 60 days of publication.
Learn More📊SEC Rule 10A-1 Reinstatement
The Securities and Exchange Commission announces a request for OMB review regarding the reinstatement of Rule 10A-1, which mandates reporting on illegal acts that could materially affect financial statements. Businesses must be aware of compliance requirements and reporting obligations to the SEC, particularly in relation to auditor communications.
Learn More💡Business Implications of New Natural Gas Pipeline Rate Filings
The Department of Energy's notice announces several filings regarding Natural Gas Pipeline Rate and Refund reports, initiated by various companies. Each filing includes details such as effective dates and required comment periods. The notice emphasizes the importance of participation in these proceedings for stakeholders, ensuring engagement in regulatory processes.
Learn More📄SEC Proposed Collection Notice on Rule 17Ad-16 Compliance
The SEC announces a request for comments regarding the extension of Rule 17Ad-16, which mandates registered transfer agents to notify securities depositories when changes to services occur. It also outlines the compliance burden and cost estimates associated with submitting these notices annually, aiming to streamline certificate transfers and reduce delays.
Learn More📄SEC Rule 17Ad-11 Extension
The Securities and Exchange Commission announces the submission for OMB review focusing on Rule 17Ad-11, outlining the obligations for registered transfer agents regarding reporting discrepancies in securities records and maintaining compliance. This notice emphasizes the need for accurate reporting practices to enhance the oversight of transfer agents in the securities market.
Learn More📊SEC Notice on Rules 6a-1 and 6a-2 Compliance and Implications
The SEC has submitted a request for OMB approval to extend the information collection requirements under Rules 6a-1 and 6a-2 related to national securities exchanges. This includes the necessity for thorough reporting and documentation filings, crucial for the Commission's oversight and regulatory functions. The proposed regulations emphasize maintaining updated and accurate information for operational compliance and registration processes.
Learn Moreâš¡Combined Notice of Filings by the Federal Energy Regulatory Commission
This notice details various filings received by the Federal Energy Regulatory Commission concerning accounting requests, self-certifications by exempt wholesale generators, and electric rate filings. It emphasizes the compliance deadlines and procedures for entities involved in the energy sector, promoting transparency and stakeholder participation in regulatory proceedings.
Learn More📊FCA Proposes New Rule on Internal Control Over Financial Reporting
The Farm Credit Administration (FCA or we) extends the comment period on its proposed rule that would revise FCA regulations to require certain Farm Credit System institutions to obtain integrated audits under certain conditions. FCA is reopening the comment period.
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