Securities


To help airlines and insurers quickly raise essential capital in the wake of the September 11 terrorist attacks, the SEC simplifies its securities registration process and sets up special telephone (202-942-2816) and e-mail ( cfhotline@sec.gov ) response systems to answer registrants’ financing and disclosure questions. ( www.sec.gov/news/press/2001-107.txt )

The SEC asks securities brokers and dealers, investment advisers, mutual fund companies and transfer agents to voluntarily provide any information they have on the growing list of individuals and organizations the FBI is investigating in relation to the Pentagon and World Trade Center attacks. ( www.sec.gov/news/press/2001-103.txt )

The SEC proposes amendments to regulation S-T, which governs the commission’s electronic data gathering, analysis and retrieval (EDGAR) system. The changes would require foreign private issuers and foreign governments to submit their securities filings through EDGAR. According to the SEC, this would increase efficiency and give the public easier access to information on foreign registrants, who currently are permitted, but not required, to file electronically. Comments are due to the SEC by December 3. ( www.sec.gov/rules/proposed.shtml )

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TECHNOLOGY Q&A

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The IRS’s 2016 Data Book, a “hot job” of particular interest at this time of year, and insight into how executive and audit committees view the insights from financial statement audits received attention recently. See how much you know with this short quiz.