Regulatory Alerts2023-03-22
Electronic Submission of Certain Material Under the Securities Exchange Act of 1934; Amendments Regarding the FOCUS Report
The Securities and Exchange Commission proposes to mandate the electronic submission of specified forms, reports, notices, and supplementary materials through its EDGAR system using structured data where appropriate. The rule eliminates manual signature requirements for self-regulatory organization filings, requires certain SRO data to be publicly posted on their websites, and updates clearing agency reporting obligations. Additionally, the proposal harmonizes technical amendments to the Financial and Operational Combined Uniform Single Report while extending electronic filing mandates to broker-dealers, security-based swap dealers, and major participants.
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