SEC Electronic Administrative Filings

On Nov. 17, SEC adopted electronic documents in rules of practice.

  • SEC issued final rule adopting amendments to its rules of practice under 17 CFR 201.
  • Requires documents in SEC administrative proceedings be filed, served electronically.
  • To automate and modernize filing process, and enhance accessibility and transparency.
  • Coincides with SEC's development of an internet-based electronic filing system for administrative proceedings, electronic filings in administrative proceedings (eFAP).
  • Proposal to amend administrative proceedings first filed Sep. 24, 2015, see #23448.
  • Rules of Practice Amendments
  • Persons involved in administrative proceedings required to file documents under 17 CFR 201.151 and 17 CFR 201.152 will now be required to file such items electronically.
  • Documents filed via new eFAP system required to redact/omit sensitive personal data.
  • Parties required to serve each other electronically as prescribed on the SEC website.
  • Effectiveness
  • Final rules will be effective in 30 days from pending publication in the federal register.
  • Compliance required by Apr. 12, 2021; except instruction 8 is effective Jul. 12, 2021.

Regulators SEC
Entity Types B/D; Corp; Exch; Fiduciary; IA; IB; Inv Co; MMF
Reference SEC RF 34-90442, 11/17/2020; Citation: *17 CFR* 201, 201.151, 201.152;
Functions Complaints; Reporting
Countries United States of America
Products Corporate; Equity; Fixed Income; Fund Mgt; Investment Bank; Mutual Funds; Securities; Wealth Mgt
Regions Am
Rule Type Final
Rule Date 11/17/2020
Effective Date 12/17/2020
Rule Id 91021
Linked to Rule :23448
Reg. Last Update 11/17/2020
Report Section US Investment

Last substantive update on 11/18/2020