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.
- 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.
||B/D; Corp; Exch; Fiduciary; IA; IB; Inv Co; MMF
||SEC RF 34-90442, 11/17/2020; Citation: *17 CFR* 201, 201.151, 201.152;
||United States of America
||Corporate; Equity; Fixed Income; Fund Mgt; Investment Bank; Mutual Funds; Securities; Wealth Mgt
|Reg. Last Update
Last substantive update on 11/18/2020