SEC Staff Issues No-Action Letter Permitting Broker-Dealers and OTC Derivatives Dealers to Electronically File Required Reports
Jan 11, 2016
From the Financial Reporting Network
The SEC staff recently issued a no-action letter that permits broker-dealers and OTC derivatives dealers to electronically file with the SEC the required annual and supplemental reports under SEC Rules 17a-5 and 17a-12, respectively, through the Electronic Data Gathering, Analysis and Retrieval (EDGAR) system, in lieu of filing the reports in paper form. The appendices to the no-action letter include the procedures and conditions for broker-dealers to obtain EDGAR Access Credentials and a list of document attachment types to be used in the electronic filing, including options to request confidentiality of the filings as permitted by SEC Rule 17a-5.