SEC regulatory compliance & reporting

TOPICS / ACCOUNTING & REPORTING

October 11, 2022

SEC reopens public comment periods due to technological error

Anyone who commented on the SEC’s last 12 rulemaking releases is encouraged to make sure their comments were received.

September 14, 2022

SEC proposes new regulations for US Treasury market clearinghouses

SEC Chair Gary Gensler says that proposed changes to the Exchange Act Rule of 1975 would “reduce risk across a vital part of our capital markets.”

September 8, 2022

SEC chair seeks increased regulation of cryptoassets

SEC Chair Gary Gensler calls for cryptoasset entities to register under current securities laws and suggests that more legislation to support regulation could be on the way.

August 25, 2022

SEC adopts ‘pay versus performance’ disclosure rules

Amendments will require public companies to disclose details about the relationship between executive compensation and financial performance.

August 25, 2022

SEC releases draft of 5-year strategic plan

The SEC aims to update its disclosure framework and upgrade its protection measures and its workforce in order to uphold its oversight of capital markets.

June 24, 2022

AICPA publishes Q&A to explain SEC guidance on cryptoassets

The AICPA has published a set of questions and answers that explains recently released SEC staff guidance regarding the accounting for entities that have obligations to safeguard cryptoassets held for their platform users.

June 3, 2022

SEC announces updates to electronic filing requirements

The SEC said it has adopted amendments to require the electronic filing or submission of certain documents that currently are permitted to be filed or submitted in paper format.

May 26, 2022

SEC proposes enhanced disclosures related to ESG

The SEC proposed amendments to rules and reporting forms to promote consistent, comparable and reliable information for investors concerning funds’ and advisers’ incorporation of environmental, social and governance factors.

May 9, 2022

SEC extends comment period on climate-related disclosure proposal

The SEC announced an extension in the public comment period for its proposal on climate-related disclosure requirements.

April 1, 2022

Climate change: What the SEC proposal means for companies, auditors

The SEC’s recently issued climate change disclosure proposal would require companies to embrace a comprehensive, sophisticated approach to climate reporting.

March 30, 2022

SPACs would face new disclosure requirements under SEC proposal

The SEC proposed rules that are intended to provide investors with more information and protection in initial public offerings by special purpose acquisition companies.

March 28, 2022

SEC seeks to regulate principal trading firms

The SEC proposed new rules Monday that would require certain entities, most notably principal trading firms, to register with the Commission and to comply with federal securities laws and regulatory obligations.

March 21, 2022

New SEC proposal would ramp up climate-change disclosures

Public companies would be required to disclose climate-related risks and financial statement metrics under a much-awaited proposal issued by the SEC.

March 15, 2022

SEC set to discuss staff climate change proposal

The Securities and Exchange Commission will meet Monday to discuss a staff proposal designed to improve and standardize companies’ climate change disclosures for investors.

March 9, 2022

SEC proposes new rules for cybersecurity reporting

Public companies would be required to provide investors with enhanced and standardized information about their cybersecurity practices under a new rule proposed Wednesday by the Securities and Exchange Commission.

February 25, 2022

SEC seeks more disclosures of short-sale data

The Securities and Exchange Commission voted to require certain institutional investment managers to report short sale-related information each month. The SEC then would make aggregate data about large short positions, including daily short-sale activity data, available to the public for each individual security.

February 9, 2022