Items tagged with "SEC"

Crystal ball with reflection of Manhattan.

Securities Regulation – Looking Forward

It’s difficult to think of a period in the last 50 years in which it has been harder to predict the shape of international relations, policy and regulation, especially where those topics relate to the United States. This week, just to add confusion to a complex world, both EU and US officials indicated that there […]

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Businessman holding a glass ball,foretelling the future.

Looking to the future – some food for thought for regulators

In a substantial speech to the Northwestern University’s  44th Annual Securities Regulation Institute symposium, recently retired SEC Chair Mary Jo White provided an interesting summary of her perspective on the achievements of that regulator during her term. She also provided some comments on the work that lies ahead. Chair White’s retirement as the 31st SEC Chair […]

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Close-up of a needle in a haystack.  Focus is on the eye of the needle.

How do securities investigations start?

Understanding what goes into regulatory processes for enforcing securities law is of interest to regulators of all kinds as well as regulated firms. In a wide ranging “Conversation” between Howard Kaplan from the SEC’s Division of Enforcement and Chris Taylor, from P3 Systems, the data centric aspect of these issues were addressed in a webinar […]

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Man holding a money bag, considering different investing options, vector cartoon, no transparencies

CFA Institute: “Simplifying” Small Public Company Reporting Requirements Will Make it Harder to Invest in them

Allowing small US public companies to use “simplified” reporting standards available to private companies will make analysing and therefore investing in those firms harder…

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Close-up Of Person Looking At Diamond With Magnifying Loupe

Third Round of DQC Rules Released. 

XBRL US’s DQC Committee Releases New Tranche of Machine Executable Rules.

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News Item
Securities and Exchange Commission, SEC, Building in Washington DC.  The SEC regulates stocks and bonds and related financial activities.

SEC Candidate Named

The US President-elect has announced his pick to head the US Securities and Exchange Commission.

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Insight from the SEC’s Chief Information Officer

The successful implementation of data-centric programs requires a three pronged approach that addresses infrastructure, business processes and business requirements.

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Manager (businessman, coach, leadership) plan to improve quality.

Data Quality Committee Seeks Public Review of Additional Validation Rules and Guidance for SEC Filers

XBRL US is seeking public comment on five new sets of validation rules to address common XBRL input errors.

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US SEC iXBRL Data now Available

The SEC has accepted its first iXBRL filing. Follow the link to the SEC’s iXBRL viewer.

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More on the SEC’s Inline XBRL Announcement

We highly recommend that you spend a few minutes having a look at the SEC’s new iXBRL Viewer, which provides a “head up display” for the data and data definitions associated with individual disclosures. This “looks like paper, acts like structured data” presentation is easy, intuitive and extremely powerful.

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