This manual provides instructions on how to use EDGAR to submit draft registration statements and amendments and file them in accordance with the requirements of the JOBS Act. View manual in full here (links externally to SEC website).
News & Insights
The International Monetary Fund (IMF) released Chapters 3 and 4 (we could not find the first 2 chapters) of a paper titled "Global Financial Stability Report, Restoring Confidence and Progressing on Reforms" on global systemic risk and the effects of financial regulatory reform. The IMF described the chapters as having the following purpose: "Chapter 3 examines whether the regulatory reforms designed to make the financial system safer are moving the system in the correct direction, using a benchmark set of features that include financial institutions and markets that are more transparent, less
Effective October 1, 2012, the Trading Activity Fee (TAF) rate for transactions in covered security futures will decrease from $0.04 for each security futures contract traded on a round-turn basis carried in a securities account to $0.00008, with a minimum fee of $0.01 per round-turn transaction. The new rate applies to round-turn transactions in security futures subject to the TAF occurring on or after October 1, 2012. View notice here(links externally to FINRA website).
Alternative Investment Management Association (AIMA), the global hedge fund industry association, announced last week that former SEC Commissioner Kathleen Casey will be the new non-Executive Chairman, replacing Todd Groome. The new AIMA Council will consist of Casey; Olwyn Alexander, Partner, PwC; Mark O’Sullivan, Partner, Ernst & Young LLP; Phil Schmitt, President, Summerwood Capital Corp.; and Henry Smith, Global Managing Partner, Maples and Calder. Those continuing their Directorships of AIMA are Andrew Baker, Chief Executive Officer, AIMA; Andrew Bastow, General Counsel, Director of
The banking regulators (the "Agencies") have reopened the comment period for the "Proposed Margin Rule" published in the Federal Register on May 11, 2011 ( 76 FR 27564). The rule is intended to establish minimum margin and capital requirements for uncleared swaps and security-based swaps entered into by SDs, MSPs, security-based swap dealers, and major security-based swap participants, in each case that are subject to the requirements of the Prudential (banking) regulators, rather than the CFTC. The release indicates that the comment period has been extended as a result of the consultative