News
SEC EDGAR Filing News
2007 | 2006 | 2005 | 2004 | 2003
Date Title
December 12, 2007 EDGAR Not Available On December 24, 2007
November 16, 2007 DRAFT EDGAR XFDL Technical Specification (Version 5)
November 16, 2007 DRAFT EDGAR Filer Manual (Volume II) - EDGAR Filing (Version 6)
August 16, 2007 EDGAR Filer Manual for Release 9.7
July 26, 2007 DRAFT EDGAR Filer Manual for Release 9.7
May 14, 2007 DRAFT EDGAR Filer Manual for Release 9.6
March 20, 2007 Filing Date Adjustment for Electronic TA Submissions
February 28, 2007 Electronic Filing of Transfer Agent Forms
December 1, 2006 Adjustments to EDGAR Submissions Received on January 3, 2007, for Notice of Late Filing ("NT" Submission Types)
December 1, 2006 Co-Reg Filings with S/C ID's
June 30, 2006 Notice and FAQ’s re: Mandatory Series and Class (Contract) Identifiers
June 5, 2006 IM EDGAR PACs
January 30, 2006 Notice to Investment Company Registrants
January 25, 2006 DRAFT EDGAR XFDL Technical Specification (Version 3)
January 6, 2006 DRAFT EDGAR Filer Manual Updates
October 2005 Notice to Form N-1A, N-3, N-4 and N-5 Investment Company Registrants
August 2005 US GAAP - Investment Management Taxonomy in EDGAR
June 6, 2005 EDGAR Rel 9.0 Filer Manual
May 6, 2005 DRAFT EDGAR Rel 9.0 Filer Manual
Feb. 7, 2005 EDGAR Rel 8.10 Reduced Content XFDL Specification
Feb. 4, 2005 EDGAR Release 8.10 Effective February 7, 2005
Aug. 23, 2004 EDGAR Release 8.8 Effective Aug. 23, 2004
Jun. 7, 2004 SEC Confirms Closing on Friday, June 11, 2004
Apr. 22, 2004 EDGAR Rel. 8.7 Filer Manual
Apr. 21, 2004 Mandated Electronic Filing for Form ID
Apr. 11, 2004 Passphrases Are Needed Beginning April 26, 2004
Mar 16, 2004 Additional Form 8-K Disclosure Requirements & Filing Date Acceleration
Mar. 16, 2004 Rulemaking for EDGAR System
Mar. 15, 2004 Mandated Electronic Filing for Form ID
Jan. 04, 2004 Notice to 13F Filers With More Than One 28- File Number
Dec. 12, 2003 EDGAR Unavailable on December 26, 2003
Nov. 19, 2003 8.6 XML Schema/Stylesheet Files Updated 11/19/03
Aug. 14, 2003 FAQ: Section 16 Electronic Reporting
Jul. 28, 2003 New Filing Hours
Jul. 23, 2003 Update to Draft EDGAR Release 8.6 XML Reduced Content XML Schema
Jul. 9, 2003 EDGAR Release 8.6 Testing
Jun. 6, 2003 Reminder: Use of Graphics in Filings
Apr. 22, 2003 Postponement of Release 8.5 and Live Filing of Section 16 Reports Using the SEC's New On-Line Website
Mar. 20, 2003 SEC Establishes New Website for Creating and Filing Ownership Forms
Mar. 5, 2003 Reminder: Use of Graphics in Filings
 
EDGAR Related SEC News
Release No. Date Description
2007-270 Dec. 27, 2007 Fee Rate Advisory #6 for Fiscal Year 2008
2007-269 Dec. 21, 2007 Fee Rate Advisory #5 for Fiscal Year 2008
2007-265 Dec. 14, 2007 Fee Rate Advisory #4 For Fiscal Year 2008
2007-249 Nov. 29, 2007 SEC Releases Sample Format for Proposed Mutual Fund Summary Prospectus
2007-247 Nov. 28, 2007 SEC Adopts Proxy Rule Amendments Encouraging Electronic Shareholder Forums
Video of Chairman's Statement:
• Windows Media Player (14 MB)
• QuickTime (15 MB)
2007-246 Nov. 28, 2007 SEC Votes to Codify Longstanding Policy on Shareholder Proposals on Election Procedures
Video of Chairman's Statement:
• Windows Media Player (43 MB)
• QuickTime (46 MB)
2007-234 Nov. 15, 2007 SEC Votes to Propose Improvement of Mutual Fund Disclosure
Video of Chairman's Statement:
• Windows Media Player (11 MB)
• QuickTime (12 MB)
2007-233 Nov. 15, 2007 SEC Votes to Adopt Three Rules to Improve Regulation of Smaller Businesses
Video of Chairman's Statement:
• Windows Media Player (11 MB)
• QuickTime (12 MB)
2007-232 Nov. 15, 2007 Fee Rate Advisory #3 for Fiscal Year 2008
2007-207 Sep. 28, 2007 Fee Rate Advisory #2 for Fiscal Year 2008
2007-151 Jul. 26, 2007 SEC Gives Regulatory Approval for NASD and NYSE Consolidation
2007-144 Jul. 25, 2007 SEC Approves PCAOB Auditing Standard No. 5 Regarding Audits of Internal Control Over Financial Reporting; Adopts Definition of "Significant Deficiency"
Video of Chairman's Statement at the July 25 Open Meeting:
• Windows Media Player (15 MB)
• QuickTime (16 MB)
2007-89 May 7, 2007 Fee Rate Advisory #1 for Fiscal Year 2008
2007-27 Mar. 1, 2007 Fee Rate Advisory #8 for Fiscal Year 2007
2007-22 Feb. 15, 2007 Fee Rate Advisory #6 for Fiscal Year 2007
2006-169 Sep. 29, 2006 SEC Announces Timetable for Enactment of Final Rules Under Gramm-Leach-Bliley Act
See also: Exemptive Order; Release No. 34-54544
2006-168 Sep. 29, 2006 Fee Rate Advisory #3 for Fiscal Year 2007
2006-167 Sep. 27, 2006 SEC Votes to Adopt Amendments to the Redemption Fee Rule and Extend Compliance Date
See also: Final Rule Release No. IC-27504
2006-161 Sep. 26, 2006 Fee Rate Advisory #2 For Fiscal Year 2007
2006-160 Sep. 25, 2006 Commission Announces Interactive Data Roundtable on New Software to Make Better Information a Reality
2006-158 Sep. 25, 2006 SEC to Rebuild Public Disclosure System to Make It ‘Interactive’
2006-147 Sep. 1, 2006 SEC Joins Department of Justice in Supporting Constitutionality of PCAOB
See also: Attachment
2006-136 Aug. 9, 2006 SEC Offers Further Relief From Section 404 Compliance for Smaller Public Companies and Many Foreign Private Issuers
See also: Release No. 33-8730A; Release No. 33-8731
2006-116 Jul. 12, 2006 SEC Votes to Publish Interpretive Guidance on "Soft Dollars" Safe Harbor and to Propose Amendments to Regulation SHO
2006-112 Jul. 11, 2006 SEC Moves Forward on Sarbanes-Oxley 404 Improvements
See also: Concept Release 34-54122
2006-100 Jun. 21, 2006 SEC Adopts New Rules and Amendments for Fund of Funds Investments and Disclosure
2006-75 May 17, 2006 SEC Announces Next Steps for Sarbanes-Oxley Implementation
2006-61 Apr. 25, 2006 SEC to Replace Many Paper Effectiveness Orders With Electronic Notifications of Effectiveness
2006-31 Mar. 1, 2006 Fee Rate Advisory #6 for FY 2006
33-8644 Dec. 21, 2005 Revisions To Accelerated Filer Definition And Accelerated Deadlines
2005-176 Dec. 14, 2005 SEC Votes to Propose Rules on Tender Offers, Foreign Issuer Deregistration; Also Votes to Adopt Filing Acceleration Changes
2005-175 Dec. 8, 2005 SEC Advisory Committee on Smaller Public Companies Publishes Agenda for December 14 Meeting
2005-166 Nov. 29, 2005 SEC Votes to Propose Rule to Provide Investors with Internet Availability of Proxy Materials
2005-163 Nov. 23, 2005 Fee Rate Advisory #5 for Fiscal Year 2006
2005-161 Nov. 18, 2005 Fee Rate Advisory #4 for Fiscal Year 2006
2005-140 Sep. 30, 2005 Fee Rate Advisory #3 for Fiscal Year 2006
2005-137 Sep. 27, 2005 Fee Rate Advisory #2 for Fiscal Year 2006
2005-134 Sep. 21, 2005 SEC Votes to Propose Changes in Filing Deadlines and Accelerated Filer Definition; Postpone 404 Compliance Date for Non-accelerated Filers
2005-132 Sep. 15, 2005 SEC Approves Regulatory Relief for Katrina Victims
See also Exemptive Order, Release No. 34-52444
2005-130 Sep. 9, 2005 SEC Extends Time for Banks to Comply with Gramm-Leach-Bliley Act Broker Registration Requirements
2005-125 Sep. 2, 2005 SEC Announces Assistance to Katrina Victims
2005-106 Aug. 2, 2005 Extension of Compliance Date for Rule 612, the Sub-Penny Rule, of Regulation NMS  see also Final Rule, Release No. 34-52196
2005-99 Jul. 1, 2005 SEC Votes To Adopt Securities Act Rule Reform and Shell Company Regulations; Considers Matters Remanded by Court of Appeals
2005-91 Jun. 15, 2005 Staff Report on Off-Balance Sheet Arrangements, Special Purpose Entities and Related Issues
2005-74 May 15, 2005 Commission Statement on Implementation of Internal Control Reporting Requirements
2005-72 May 9, 2005 SEC Staff to Begin Publicly Releasing Comment Letters and Responses
2005-69 Apr. 29, 2005 Fee Rate Advisory #1 for Fiscal Year 2006
2005-55 Apr. 13, 2005 SEC Adopts Amendments to Form 20-F
2005-31 Mar. 8, 2005 SEC Extends Time for Banks to Comply with Gramm-Leach-Bliley
2005-25 Mar. 2, 2005 Extension of Compliance Dates for Non-Accelerated Filers and Foreign Private Issuers
2005-22 Mar. 1, 2005 Fee Rate Advisory #7 for Fiscal Year 2005
2005-12 Feb. 7, 2005 SEC Adopts Rule Establishing a Voluntary Program for Reporting Financial Information on EDGAR Using XBRL
2004-167 Dec. 9, 2004 Fee Rate Advisory #6 For Fiscal Year 2005
2004-161 Nov. 30, 2004 SEC Postpones Filing Date for Internal Control Reports for Some Accelerated Filers
2004-160 Nov. 29, 2004 Fee Rate Advisory #5 for Fiscal Year 2005
2004-159 Nov. 22, 2004 Fee Rate Advisory #4 for Fiscal Year 2005
2004-158 Nov. 17, 2004 Final Phase-In Period for Acceleration of Filing Dates postponed
2004-139 Sep. 30, 2004 Fee Rate Advisory #3 for Fiscal Year 2005
2004-138 Sep. 27, 2004 SEC Proposes Rule to Establish Voluntary Program for Reporting Financial Information on EDGAR Using XBRL
2004-137 Sep. 27, 2004 Fee Rate Advisory #2 for Fiscal Year 2005
2004-121 Aug. 26, 2004 SEC Proposes to Postpone for 1 Yr Final Phase-In Period for Acceleration of Periodic Report Filing Dates
2004-110 Aug. 11, 2004 SEC to Host Forum on Small Business Capital Formation
2004-107 Aug. 5, 2004 SEC Releases Strategic Plan for 2004-2009
2004-89 Jun. 24, 2004 SEC to Publicly Release Comment Letters & Responses
2004-59 Apr. 30, 2004 Fee Rate Advisory #1 for Fiscal Year 2005
2004-54 Apr. 22, 2004 Mandated Electronic Filing of EDGAR Access Code Applications
2004-50 Apr. 13, 2004 SEC Adopts Fund Disclosure Rules and Foreign Bank Loan Exemption; Proposes Shell Company Rules
2004-35 Mar. 16, 2004 SEC Proposes Mandated Electronic Filing Form ID Applications
2004-31 Mar. 11, 2004 SEC Votes To Adopt Additional 8-K Requirements and Propose Amendments to Form 20-F & Fund Manager Disclosure Requirements
2004-21 Feb. 24, 2004 Ext. of Compliance Dates-Internal Control Over Financial Reporting Requirements. View new rule release.
2004-10 Jan. 26, 2004 Fee Rate Advisory #7 for Fiscal Year 2004
2003-163 Nov. 24, 2003 Fee Rate Advisory #6 for Fiscal Year 2004
2003-153 Nov. 07, 2003 Fee Rate Advisory #5 for Fiscal Year 2004
2003-146 Oct. 31, 2003 Fee Rate Advisory #4 for Fiscal Year 2004
33-8267 Oct. 21, 2003 Final Rule: Adoption of Filing Fee Account Rule
2003-128 Sep. 30, 2003 Fee Rate Advisory #3 for Fiscal Year 2004
2003-116 Sep. 15, 2003 Fee Rate Advisory #2 for Fiscal Year 2004
2003-86 Jul. 25, 2003 SEC Study on Adoption by the U.S. Financial Reporting System of a Principles-Based Accounting System
2003-83 Jul. 15, 2003 SEC Publishes Staff Report on Proxy Process Review
2003-78 Jun. 30, 2003 New Rules Require Shareholder Approval of Equity Compensation
2003-73 Jun. 13, 2003 SEC Staff Responds to Frequently Asked Questions Regarding the Use of Non-GAAP Financial Measures
2003-66 May 27, 2003 SEC Implements Internal Control Provisions of Sarbanes-Oxley Act; Adopts Investment Company R&D Safe Harbor
2003-61 May 9, 2003 Office of Chief Accountant and Division of Corporation Finance Release Staff Accounting Bulletin 103
2003-57 Apr. 30, 2003 Fee Rate Advisory # 1 for Fiscal Year 2004
2003-53 Apr. 25, 2003 Securities and Exchange Commission Reaffirms Status of Pronouncements of the Financial Accounting Standards Board
2003-51 Apr. 24, 2003 SEC Votes To Mandate Electronic Filing of Ownership Reports; Prohibit Improper Influence of Auditors
2003-43 Apr. 1, 2003 SEC Requires Exchange Listing Standards for Audit Committees
2003-39 Mar. 21, 2003 Commission Proposes Amendments Regarding CEO, CFO Certification Under Sarbanes-Oxley
2003-27 Feb. 28, 2003 Fee Rate Advisory #12 for Fiscal Year 2003
2003-24 Feb. 21, 2003 Fee Rate Advisory #11 for Fiscal Year 2003
2003-22 Feb. 7, 2003 Fee Rate Advisory #10 for Fiscal Year 2003
2003-18 Jan. 31, 2003 Fee Rate Advisory #9 for Fiscal Year 2003
2003-13 Jan. 23, 2003 SEC Adopts Attorney Conduct Rule Under Sarbanes-Oxley Act
2003-10 Jan. 22, 2003 SEC Adopts Rules on Disclosure of Off-Balance Sheet Arrangements and Aggregate Contractual Obligations
2003-9 Jan. 22, 2003 Commission Adopts Rules Strengthening Auditor Independence
2003-6 Jan. 15, 2003 SEC Adopts Rules on Provisions of Sarbanes-Oxley Act; Actions Cover Non-GAAP Financials, Form 8-K Amendments, Trading During Blackout Periods, Audit Committee Financial Expert Requirements
2003-4 Jan. 10, 2003 Fee Rate Advisory #8 for Fiscal Year 2003