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SEC Modernization Resource Center

 

Related SEC Modernization FAQs and Content

SEC Form N-PORT and Form N-CEN Test Filing Schedule

SEC Investment Company Reporting Modernization FAQ

Liquidity Risk Management Programs FAQ

Confluence Client Resources
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Confluence SEC Guidance & Commonly Asked Questions

Confluence Webinar: SEC Modernization: The Quest for Data Raises a Question of Oversight – March 2018

Confluence SEC Modernization Update Webinar – February 2018

Highlights of the SEC Investment Company Rule

Form N-PORT and Related Changes

Form N-PORT will disclose each non-money market fund's portfolio to the SEC monthly and the public quarterly in a machine readable format.  Form N-Q is rescinded, but the equivalent of Form N-Q, the human viewable Part F, will still be required as an attachment to the Q1 and Q3 Form N-PORT filing.  The Certification of Form N-CSR will be extended to six months.

Form N-CEN and Related Changes

Form N-CEN will replace Form N-SAR for communicating census information in a machine readable format to the SEC and the public.  Form N-CEN will be filled annually, due 75 dates after year end.  The Form N-SAR exhibit reporting a change in independent registered public accountants moves to Form N-CSR

Amendments to Regulation S-X and Related Changes

The Article 12 Schedules required by Regulation S-X have been updated to disclose information consistent with the derivative disclosures on Form N-PORT.  The corresponding Article 6 statements and tax disclosures in the notes to the financial statements have also been updated. Additional securities lending disclosures in the Statement of Additional Information, or in Form N-CSR for closed end funds.

SEC Modernization Blogs

Come to your Census – Why Form N-CEN is a Key to Fund Administration Data Strategy

Delays Aren’t What They Used to Be Why the Form N-PORT Temporary Rule Is All Hat and No Cattle

More Data and More Frequently Than Ever… Why Form N-PORT Oversight is a Must

Getting 30e-3 Wrong Again

Happy Birthday, Form N-PORT!

Getting in that SEC Reporting Modernization State of Mind

To read more about SEC Modernization, visit our Blog.

SEC Modernization News & Announcements

August 2, 2018

SEC modernization rule’s impact on the back office Read More

June 11, 2017

Back Offices Migrate to ‘Data First’ Architecture Read More

June 7, 2018

SEC approves paperless fund reports Read More

June 6, 2018

Tech firms attempt to repurpose filing data Read More

February 20, 2018

Confluence and ICE Data Services to Help Firms Meet SEC Modernization Reporting Requirements Read More

January 29, 2018

MSCI and Confluence Help Investors Streamline SEC N-PORT Regulatory Reporting Requirements Read More

September 22, 2017

Nearly Seventy Percent Set to Use Confluence for 2018 SEC Reporting Modernization Firms Commit to Technology Readiness as Test Filing Phase Begins Read More

September 11, 2017

EDGAR Filer Manual & Technical Specifications Read More

July 18, 2017

SEC Issues Modernization FAQ Read More

January 27, 2017

Fund Firms Select Confluence RegTech Solution to Meet Onerous SEC Modernization Challenges Read More