Regulatory Alerts2023-04-18 | 2023-06330Added
Electronic Submission of Certain Materials Under the Securities Exchange Act of 1934; Amendments Regarding the FOCUS Report
The Securities and Exchange Commission proposes to require electronic filing or submission on the EDGAR system for certain forms and materials under the Securities Exchange Act of 1934. The proposal mandates electronic submissions for self-regulatory organizations, broker-dealers, and security-based swap entities, while also requiring public posting of specific SRO rule change information on websites. Additionally, the Commission proposes amendments to harmonize the FOCUS Report, allow electronic signatures in certain filings, and remove manual signature requirements for SRO proposed rule change filings.
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