Financial Transactions and Regulatory Compliance Review

Covering the latest in capital markets transactions, funds, annuities, financial reporting and SEC filings

SEC closed in honor of President George H.W. Bush - December 5, 2018



In honor of former President George H. W. Bush, the SEC is closed Wednesday, December 5, 2018. No filings can be received.

Files submitted after 5:30 pm ET, Tuesday, December 4, 2018 will receive a filing date of Thursday, December 6, 2018 and will be posted to the public on December 6, 2018.

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SEC closed for Thanksgiving - November 22, 2018



Due to Thanksgiving, the SEC is closed Thursday, November 22, 2018. No filings can be received.

Files submitted after 5:30 pm ET, Wednesday, November 21, 2018 will receive a filing date of Friday, November 23, 2018 and will be posted to the public on November 23, 2018.

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SEC closed for Veterans Day - November 12, 2018



Due to the observance of Veterans Day, the SEC is closed Monday, November 12, 2018. No filings can be received.

Files submitted after 5:30 pm ET, Friday, November 9, 2018 will receive a filing date of Tuesday, November 13, 2018 and will be posted to the public on November 13, 2018.

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SEC Disclosure Update and Simplification: Final Rule in Effect

As of Monday November 5, 2018, filers will be able to adopt amendments that the SEC approved in August to change certain disclosure requirements that have become duplicative, overlapping, or outdated considering other SEC disclosure requirements, GAAP, or changes in the information environment.

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