Securities and Exchange Commission – Federal Register Recent Federal Regulation Documents
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Adoption of Updated EDGAR Filer Manual
The Securities and Exchange Commission (``Commission'') is adopting amendments to Volume II of the Electronic Data Gathering, Analysis, and Retrieval system (``EDGAR'') Filer Manual (``Filer Manual'') and related rules and forms. EDGAR Release 23.1 will be deployed in the EDGAR system on March 20, 2023.
Electronic Submission of Certain Materials Under the Securities Exchange Act of 1934; Amendments Regarding the FOCUS Report
The Securities and Exchange Commission (``Commission'' or ``SEC'') is proposing to require electronic filing or submission of certain forms and other filings or submissions that are required to be filed with or submitted to the Commission under the Securities Exchange Act of 1934 (``Exchange Act'') and the rules and regulations under the Exchange Act. The proposal would require the electronic filing or submission on the Commission's Electronic Data Gathering, Analysis, and Retrieval (``EDGAR'') system, using structured data where appropriate, for certain forms filed or submitted by self-regulatory organizations (``SROs''). The proposal would require the information currently contained in Form 19b-4(e) to be publicly posted on the SRO's website and remove the manual signature requirements for SRO proposed rule change filings. The Commission is also proposing that a clearing agency post supplemental material to its website. In addition, the proposal would amend rules under the Exchange Act and the Securities Act of 1933 (``Securities Act'') to require the electronic filing or submission on EDGAR, using structured data where appropriate, of certain forms, reports and notices provided by broker-dealers, security-based swap dealers and major security-based swap participants. The proposed amendments also would require withdrawal in certain circumstances of notices filed in connection with an exception to counting certain dealing transactions toward determining whether a person is a security- based swap dealer. Finally, the Commission is proposing to allow electronic signatures in certain broker-dealer filings, and is proposing amendments regarding the Financial and Operational Combined Uniform Single Report (``FOCUS Report'') to harmonize with other rules, make technical corrections, and provide clarifications.
Regulation Systems Compliance and Integrity
The Securities and Exchange Commission (``Commission'' or ``SEC'') is proposing amendments to Regulation Systems Compliance and Integrity (``Regulation SCI'') under the Securities Exchange Act of 1934 (``Exchange Act''). The proposed amendments would expand the definition of ``SCI entity'' to include a broader range of key market participants in the U.S. securities market infrastructure, and update certain provisions of Regulation SCI to take account of developments in the technology landscape of the markets since the adoption of Regulation SCI in 2014. The proposed expansion would add the following entities to the definition of ``SCI entity'': registered security-based swap data repositories (``SBSDRs''); registered broker-dealers exceeding an asset or transaction activity threshold; and additional clearing agencies exempted from registration. The proposed updates would amend provisions of Regulation SCI relating to systems classification and lifecycle management; third party/vendor management; cybersecurity; the SCI review; the role of current SCI industry standards; and recordkeeping and related matters. Further, the Commission is requesting comment on whether significant-volume alternative trading systems (ATSs) and/or broker-dealers using electronic or automated systems for trading of corporate debt securities or municipal securities should be subject to Regulation SCI.
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