SEC EDGAR Filing Deadlines

Reminder: The SEC is closed, Thursday, November 23, 2017

Reminder: The Securities and Exchange Commission (SEC) is closed, Thursday, November 23, 2017 in observance of the Thanksgiving holiday.

The U.S Securities and Exchange Commission (“SEC”) will be closed on Thursday, November 23, 2017 in observance of the Thanksgiving Holiday. With the SEC closed, filers will not be permitted to submit filings to the EDGAR system.

Filings submitted after 5:30pm ET, Wednesday, November 21, 2017 will be disseminated Friday, November 24, 2017 at 6:00am ET and receive a Monday, November 24, 2017 filing date. If a filing has a due date of Thursday, November 23, 2017, the due date will fall on the following business day, Friday, November 24, 2017.

Securex provides a dynamic filing deadline calculator to review SEC filing deadlines and holidays to help you not miss an SEC filing deadline.

>> Access Calendar >>


Need help with a last minute filing?

Securex is staffed 24/7, including holidays, to help with get your project ready for filing during the holidays. Contact us if we may be of assistance.

By : Securex /November 22, 2017 /SEC EDGAR Filing Deadlines /0 Comment Read More

Insider Stock Sale: SEC Announces Fraud Charges against Biotech Company and Former Executive

SEC Press Release 9/10/2014
 

SEC Announces Fraud Charges against Biotech Company and Former Executive who failed to report Insider Stock Sales. Today, the SEC announced charges against 28 officers, directors, or major shareholders for violating federal securities laws that require them to promptly report information about their holdings and transactions in company stock.

A total of six publicly traded companies were charged for contributing to filing failures by insiders or failing to report their insiders’ filing delinquencies.

The charges were a result of an SEC enforcement initiative focusing on two types of ownership reports that give investors the opportunity to evaluate whether the holdings and transactions of company insiders could be indicative of a company’s future performance. Both types of ownership reports (Form 4 and Schedule 13D/13G) have certain timing requirements in regards to when they have to be filed.

The accused individuals are charged with repeatedly filing their insider stock sale documents late; sometimes by weeks, months, and even years.

Andrew M. Calamari, Director of the SEC’s New York Regional Office, added, “The reporting requirements in the federal securities laws are not mere suggestions, they are legal obligations that must be obeyed.  Those who fail to do so run the risk of facing an SEC enforcement action.”

These reporting requirements under Section 16(a) of the Securities Exchange Act of 1934 and under Section 13(d) or (g) of the Exchange Act apply irrespective of profits or a person’s reasons for acquiring holdings or engaging in transactions.  The failure to timely file a required beneficial ownership report, even if inadvertent, constitutes a violation of these rules.

The individuals that chose to settle the charges are required to pay financial penalties totaling $2.6 million.

For full access to the SEC press release, please click here.

By : Securex /September 11, 2014 /Compliance, General EDGAR filing, Marketforms.com, Public Company Accounting, SEC EDGAR Filing Deadlines, SEC News and Public Statement, Section 16 Filings, Securites Law /0 Comment Read More

SEC and EDGAR System Operating Status

The SEC will remain open and operational in the event the federal government undergoes a lapse in appropriations on October 1. Any changes to the SEC’s operational status after October 1 will be announced on this website.

The SEC’s current operational plan in the event of an SEC shutdown is available here.

Details of employees subject to furlough and a summary of major SEC functions that will be continued are available for download

By : Securex /September 30, 2013 /Compliance, General EDGAR filing, SEC EDGAR Filing Deadlines, SEC News and Public Statement /1 Comment Read More

SEC Filing Deadline Reminder: SEC closed Monday for Labor Day

Reminder: SEC and EDGAR system are closed Monday, September 2, 2013 for Labor Day.

The SEC will be closed on Monday, September 2, 2013 in observance of the Labor Day holiday. With the SEC closed, filers will not be permitted to submit filings to the EDGAR system. Filings submitted after 5:30 pm ET, Friday August 30, 2013, will be disseminated Tuesday September 3, 2013 at 6:00 am and receive a September 3, 2013 filing date.

If a filing has a due date of Monday, September 2nd, 2013, the due date will fall on the following business day, Tuesday September 3, 2013.

SEC Calendar / Deadline Tool: Our Calendar / Deadline tool identifies key SEC filing deadline dates for the SEC and dynamically creates filing deadlines specific to the end date of your fiscal quarter.

By : Securex /August 28, 2013 /EDGAR XBRL, General EDGAR filing, SEC EDGAR Filing Deadlines /1 Comment Read More

Reminder: The SEC is closed Monday, January 21 for Martin Luther King, Jr.

The SEC will be closed on Monday, January 21, 2013 in observance of Martin Luther King Day. With the SEC closed, filers will not be permitted to submit filings to the EDGAR system.

Filings submitted after 5:30 pm EST, Friday January 18, 2013, will be disseminated Tuesday January 22, 2013 at 6:00 am and receive a January 22, 2013 filing date.

If a filing has a due date of Monday, January 21, 2013, the due date will fall on the following business day, Tuesday January 22, 2013.

Future Federal Holidays and SEC filing deadlines are on the Securex website

By : Securex /January 18, 2013 /General EDGAR filing, Marketforms.com, SEC EDGAR Filing Deadlines /0 Comment Read More

Reminder: SEC closed Tuesday, December 24th and 25th for Christmas Day

Friday afternoon the Federal government announced that employees would have Monday, December 24th off.

In addition to the SEC being closed on Tuesday, December 25, 2012 in honor of Christmas Day, the SEC is also closed today, December 24th. Filers will not be permitted to submit EDGAR filings on either day.

If a filing has a due date of Monday, December 24, 2012 or Tuesday, December 25, 2012 the due date will fall on the following business day, Wednesday, December 26, 2012.

The next U.S. federal holiday falls on Tuesday, January 1, 2013 in honor of New Year’s Day.

By : Securex /December 24, 2012 /Marketforms.com, SEC EDGAR Filing Deadlines /0 Comment Read More

SEC Approves Regulatory Relief for Hurricane Sandy Victims

Today, the SEC approved further regulatory relief and assistance for Hurricane Sandy Victims by issuing an order providing regulatory relief to publicly traded companies, investment companies, accountants, transfer agents and others affected by Hurricane Sandy.

We have discussed the relief measures with SEC and have been advised that companies seeking relief should follow the standard filing date adjustment procedures outlined in Rule 13(b) of Regulation S-T and submit a written request via EDGAR on Form Type CORRESP.

The procedures for requesting date adjustments are explained in the following link: http://www.sec.gov/info/edgar/cfedgarguidance.htm

The SEC release is available at: http://www.sec.gov/news/press/2012/2012-226.htm

By : Securex /November 14, 2012 /Compliance, CORRESP, General EDGAR filing, SEC EDGAR Filing Deadlines, SEC Forms, SEC News and Public Statement /0 Comment Read More

Hurricane Sandy Information for SEC Filers

The EDGAR system is operating normally and the Divisions of Corporation Finance and Investment Management Filer Support teams are available.

Registrants with urgent requests or questions should contact Jim Daly dalyj@sec.gov for Corporation Finance or Christian Sandoe sandoec@sec.gov for Investment Management, who will forward your messages to the appropriate personnel.

During this weather emergency, we understand that filers may be unable to submit their filings. You should file when you are able.  The Divisions will handle requests for filing date adjustments on a case by case basis.

By : Securex /October 30, 2012 /SEC EDGAR Filing Deadlines, SEC News and Public Statement /0 Comment Read More

Reminder: SEC and EDGAR are closed Monday, January 16 for Martin Luther King Day

The SEC will be closed on Monday, January 16, 2012 in observance of Martin Luther King Day. With the EDGAR system closed, filers will not be permitted to submit filings to the EDGAR system.

Filings submitted after 5:30pm EST, Friday January 13, 2012, will be disseminated Tuesday January 17, 2012 at 6:00am and receive a January 17, 2012 filing date.

The following Form Types are exceptions and are accepted by EDGAR until 10:00pm ET Friday, January 13, 2012, receiving a same day filing date.

  • Section 16 filings (3, 3/A, 4, 4/A, 5, 5/A)
  • CORRESP filings (not immediately disseminated to the public)

If a filing due date falls on a weekend or SEC holiday, the filing due date will fall on the following business day pursuant to Securities Exchange Act of 1934 Rule 0-3 (a).

A detailed list of upcoming SEC/EDGAR holidays is available on our website at https://www.securexfilings.com/securex-calendar-and-filing-tools/

By : Securex /January 14, 2012 /General EDGAR filing, SEC EDGAR Filing Deadlines, SEC Forms /0 Comment Read More

Reminder: SEC and EDGAR are closed Monday, January 2 for New Year

Happy New Year from all of us at Securex!

The SEC will be closed on Monday, January 2, 2012 for the New Year. With the EDGAR system closed, filers will not be permitted to submit filings to the EDGAR system. Filings submitted after 5:30pm EST, Friday December 30, 2011 will be disseminated Tuesday January 3, 2012 at 6:00am and receive a January 3, 2012 filing date.

The following Form Types are exceptions and are accepted by EDGAR until 10:00pm ET Friday, Friday December 30, 2011, receiving a same day filing date.

  • Section 16 filings (3, 3/A, 4, 4/A, 5, 5/A)
  • CORRESP filings (not immediately disseminated to the public)

If a filing due date falls on a weekend or SEC holiday, the filing due date will fall on the following business day pursuant to Securities Exchange Act of 1934 Rule 0-3 (a).

A detailed list of upcoming SEC/EDGAR holidays is available on our website at https://www.securexfilings.com/securex-calendar-and-filing-tools/

By : Securex /January 01, 2012 /General EDGAR filing, SEC EDGAR Filing Deadlines, SEC Forms /0 Comment Read More