Novaworks Weblog - SEC Filing Help

SEC Adopts Technical Amendments to Update Regulation NMS Cross-Reference, Delegated Authority Rules

nospam@example.com (LeAnn Dey) — Fri, 08 May 2026 10:30:00 -0400

On May 1st, the SEC’s Division of Trading and Markets adopted technical amendments to Rule 610 of Regulation NMS under the Exchange Act. The amendments are designed to modernize outdated cross‑references in provisions governing locking and crossing quotations. The rulemaking also corrects an obsolete reference in the rules that delegate authority to SEC staff to allow certain exemptions. Continue reading "SEC Adopts Technical Amendments to Update Regulation NMS Cross-Reference, Delegated Authority Rules"

SEC Proposes Rules to Allow Optional Semiannual Filings for Public Companies

nospam@example.com (LeAnn Dey) — Tue, 05 May 2026 17:00:00 -0400

On May 5th, the SEC proposed rule and form amendments that would allow public companies to file semiannual reports instead of traditional quarterly reports. The change would offer issuers greater flexibility in meeting interim reporting obligations under federal securities laws. Under the proposal, companies subject to Exchange Act Sections 13(a) or 15(d) may choose to file a new Form 10‑S twice a year in place of Form 10‑Q. Rather than file three quarterly reports and one annual report, eligible companies could choose the streamlined option to file one semiannual report and one annual report per fiscal year. Continue reading "SEC Proposes Rules to Allow Optional Semiannual Filings for Public Companies"

SEC, CFTC Propose Amendments to Modernize Form PF Reporting, Solicit Comment

nospam@example.com (LeAnn Dey) — Mon, 27 Apr 2026 14:30:00 -0400

On April 20th, the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) jointly proposed amendments to Form PF, the confidential reporting form used by SEC‑registered private fund advisers, which include those also registered with the CFTC as Commodity Pool Operators (CPOs) or Commodity Trading Advisors (CTAs). The updates would keep Form PF effective for regulatory oversight while making compliance more efficient for advisers. Continue reading "SEC, CFTC Propose Amendments to Modernize Form PF Reporting, Solicit Comment"

SEC Provides FAQs Related to Rule 605 of Regulation NMS

nospam@example.com (LeAnn Dey) — Mon, 06 Apr 2026 13:30:00 -0400

On April 1st, the staff of the SEC’s Division of Trading and Markets published a list of answers to frequently asked questions (FAQs) concerning Rule 605 of Regulation NMS. For further details on Rule 605, please see the 2024 Rule 605 Disclosure of Order Execution Information amendments adopting release on the SEC’s site. Continue reading "SEC Provides FAQs Related to Rule 605 of Regulation NMS"

The SEC Announces Delays with Fee-Bearing Filings, Country Code Technical Issue with EDGAR Forms 3, 4 and 5

nospam@example.com (LeAnn Dey) — Mon, 30 Mar 2026 16:45:00 -0400

On March 30th, the SEC alerted filers of two separate issues: Continue reading "The SEC Announces Delays with Fee-Bearing Filings, Country Code Technical Issue with EDGAR Forms 3, 4 and 5"

SEC Adopts Updated EDGAR Filer Manual

nospam@example.com (LeAnn Dey) — Mon, 23 Mar 2026 16:00:00 -0400

On March 16th, the SEC announced that it is adopting amendments to Volumes I and II of the EDGAR system Filer Manual and related rules and forms. EDGAR Release 26.1 is effective in the EDGAR system as of March 16, 2026. Continue reading "SEC Adopts Updated EDGAR Filer Manual"

Interim Release of GoFiler (6.5a Patch B)

nospam@example.com (LeAnn Dey) — Wed, 18 Mar 2026 11:20:00 -0400

To help filers navigate recent unexpected changes made by the SEC concerning the EDGAR 26.1 release, more specifically, Section 16 filing, Novaworks has provided a patch for GoFiler version 6.5a. Continue reading "Interim Release of GoFiler (6.5a Patch B)"

Section 16 Filing Hot Fix Now Available

nospam@example.com (LeAnn Dey) — Tue, 17 Mar 2026 13:45:00 -0400

GoFiler software is applying the Section 16 changes under EDGAR 26.1 slated for March 18th a day early. We have applied a fix for this issue, however, users that wish to file Section 16 now may either: Continue reading "Section 16 Filing Hot Fix Now Available"

EDGAR Release 26.1

nospam@example.com (LeAnn Dey) — Mon, 16 Mar 2026 13:30:00 -0400

On March 16, 2026, EDGAR Release 26.1 implemented updates to the EDGAR Filing Website. Continue reading "EDGAR Release 26.1"

Getting Ready for EDGAR 26.1: Using GoFiler Beta to Prepare New Section 16 Filings

nospam@example.com (LeAnn Dey) — Fri, 13 Mar 2026 11:30:00 -0400

In anticipation of the SEC’s rule changes for Section 16 reporting for foreign private issuers, filers may be looking for ways to prepare ahead of the official EDGAR 26.1 release. To facilitate the transition, Novaworks has released a beta version of GoFiler, which is currently available to GoFiler Complete users who would benefit from a testing environment. Continue reading "Getting Ready for EDGAR 26.1: Using GoFiler Beta to Prepare New Section 16 Filings"

XBRL US Webinar on XBRL Reporting for Special Purpose Acquisition Companies Now Available for Viewing

nospam@example.com (LeAnn Dey) — Thu, 12 Mar 2026 10:30:00 -0400

On March 11th, XBRL US hosted a webinar to review and discuss matters related to financial reporting for Special Purpose Acquisition Companies (SPACs). The session featured an overview of the related final rule, a demonstration of XBRL tagging requirements for SPACs, and a review of SPAC filings submitted to date. Continue reading "XBRL US Webinar on XBRL Reporting for Special Purpose Acquisition Companies Now Available for Viewing"

SEC Approves Rule Amendments for Holding Foreign Insiders Accountable Act

nospam@example.com (LeAnn Dey) — Tue, 03 Mar 2026 14:08:00 -0500

On February 27th, the SEC voted to approve final rule and form amendments under the Exchange Act that reflect recently adopted requirements under the Holding Foreign Insiders Accountable Act (HFIA), which enhance transparency into the holdings and transactions of officers and directors of foreign private issuers (FPIs). Pursuant to the HFIA, Section 16(a) was amended to require directors and officers of FPIs with a class of equity securities registered under Section 12 of the Exchange Act to disclose their holdings and transactions in the FPI’s equity securities Continue reading "SEC Approves Rule Amendments for Holding Foreign Insiders Accountable Act"

Filing with EDGAR Next Using GoFiler: TOTP Secret Key and MFA Code Setup

nospam@example.com (LeAnn Dey) — Tue, 24 Feb 2026 16:30:00 -0500

In accordance with EDGAR Next, the SEC now requires enhanced identity verification and multi-factor authentication (MFA) in order for filers to obtain EDGAR account access. The time-based one-time password (TOTP) Secret Key is a common component of authentication used to satisfy those MFA requirements. The TOTP Secret Key is used by an authenticator app to generate the TOTP Code, which is a secure, 6-digit code that changes every thirty seconds. This code is a piece of information that many websites or services will ask a user to provide when they log in to verify their identity. Continue reading "Filing with EDGAR Next Using GoFiler: TOTP Secret Key and MFA Code Setup"

SEC Provides Revised Guidance Related to EDGAR File Size Limits

nospam@example.com (LeAnn Dey) — Tue, 10 Feb 2026 10:00:00 -0500

On January 30th, the SEC’s EDGAR Business Office (EBO) updated guidance regarding EDGAR file size limits, including information on how filers may ensure that their file size meets EDGAR requirements. Continue reading "SEC Provides Revised Guidance Related to EDGAR File Size Limits"

EDGAR to Begin Suspending Filings for Incorrect or Incomplete Structured Data in Filing Fee Exhibits

nospam@example.com (LeAnn Dey) — Mon, 09 Feb 2026 11:45:00 -0500

In accordance with the October 2021 rulemaking, Filing Fee Disclosure and Payment Methods Modernization Release, beginning on March 16, 2026, EDGAR generally will suspend filings instead of issuing warnings for incorrect or incomplete structured filing fee-related information for all filers. EDGAR will continue to issue warnings in certain cases. Continue reading "EDGAR to Begin Suspending Filings for Incorrect or Incomplete Structured Data in Filing Fee Exhibits"