Let us take a look at each of the releases:
New SEC Forms
In our effort to continue to add value to our highly utilized SEC filings, we’ve recently added SD / CERT / N-CEN / EFFECT / X-17A-5 to our content universe. Here is a breakdown:
SD/SDA: Specialized Disclosure Report regarding conflict minerals disclosures.
X-17A-5/X-17A-5A: The form is used to report a broker-dealer's financial and operating conditions: Part I is general info about the registrant, along with operational capital charge items that are designed to measure certain economic and financial characteristics of the registrant. Part II contains the annual audit. Part III contains identification information about the registrant and the accountant.
CERT: Represents the certification by an exchange approving securities for listing.
EFFECT: Consequently, for the first time, an interested person can search for a company's filings and be able to see when the staff declared a particular Securities Act registration statement effective.
N-CEN: An annual report for registered investment companies and to be used by all registered investment companies, other than face-amount certificate companies, to file annual reports with the Commission.
Send a Copy of a Dashboard
The new Send a Dashboard feature makes it easier to set up and collaborate with team members. Simply select the “manage” button to send a copy of a dashboard directly to colleagues’ accounts.
Note: This is a feature is only available on our New Dashboard Experience.
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