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Broker-Dealer › Electronic Filing

Orrick, Herrington & Sutcliffe LLP

SEC proposes requiring electronic EDGAR filings

Orrick, Herrington & Sutcliffe LLP on

On March 22, the SEC proposed amendments intended to “modernize” filing procedures through the use of electronic filings on EDGAR using structured data as appropriate....more

Dechert LLP

BEA’s BE-180 Benchmark Survey of Financial Services Providers: Implications for U.S. Asset Managers

Dechert LLP on

In September and October 2020, the U.S. Department of Commerce’s Bureau of Economic Analysis (BEA) will administer its next mandatory Benchmark Survey of Financial Services Transactions between U.S. Financial Services...more

Katten Muchin Rosenman LLP

No-Action Relief Allows Broker-Dealers and OTC Derivatives Dealers to Submit Certain Reports Electronically

Katten Muchin Rosenman LLP on

On December 21, 2015, the Securities and Exchange Commission’s Division of Trading and Markets granted no-action relief that will allow broker-dealers and over-the-counter (OTC) derivatives dealers to submit their annual and...more

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