United States Government Publishing Office publisher pbl distributor dst United States National Archives and Records Administration Office of the Federal Register author aut Government Organization text government publication eng FR Regulatory Information 2025_register executive 2025-01-21 article Part II Rules and Regulations D09002ee1cf5fe390 D09002ee1cf5fe47b United States Securities and Exchange Commission originator org United States Government Agency or Subagency The Securities and Exchange Commission ("Commission" or "SEC") is amending its rules to require electronic filing or submission of certain forms and other filings or submissions that are required to be filed with or submitted to the Commission under the Securities Exchange Act of 1934 ("Exchange Act") and the rules and regulations under the Exchange Act. The amendments require the electronic filing or submission on the Commission's Electronic Data Gathering, Analysis, and Retrieval ("EDGAR") system, using structured data where appropriate, for certain forms filed or submitted by self- regulatory organizations ("SROs"). The amendments require the information currently contained in Form 19b-4(e) to be publicly posted on the SRO's website and remove the manual signature requirements for SRO proposed rule change filings. The Commission is also requiring that a clearing agency post supplemental material to its website. In addition, the Commission is amending rules under the Exchange Act and the Securities Act of 1933 ("Securities Act") to require the electronic filing or submission on EDGAR, using structured data where appropriate, of certain forms, reports, and notices provided by broker- dealers, security-based swap dealers, and major security-based swap participants. The amendments also require withdrawal in certain circumstances of notices filed in connection with an exception to counting certain dealing transactions toward determining whether a person is a security-based swap dealer. Finally, the Commission is allowing electronic signatures in certain broker-dealer filings, and amending the Financial and Operational Combined Uniform Single Report ("FOCUS Report") to harmonize with other rules, make technical corrections, and provide clarifications. 90 FR 7250 https://www.govinfo.gov/app/details/FR-2025-01-21/2024-30433 2024-30433 fr21ja25-13 RIN 3235-AL85 8011-P Release Nos. 33-11342 34-101925 IC-35420 File No. S7-08-23 https://www.govinfo.gov/app/details/FR-2025-01-21/2024-30433 https://www.govinfo.gov/content/pkg/FR-2025-01-21/html/2024-30433.htm https://www.govinfo.gov/content/pkg/FR-2025-01-21/pdf/2024-30433.pdf Administrative Practice and Procedure Reporting and Recordkeeping Requirements Securities Electronic Filing Investment Companies Brokers Confidential Business Information Fraud Swaps 177 p. 7250 7426 90 FR 7250 Title 17 Part 202 17 CFR Part 202 Title 17 Part 232 17 CFR Part 232 Title 17 Part 240 17 CFR Part 240 Title 17 Part 249 17 CFR Part 249 RIN 3235-AL85 Electronic Submission of Certain Materials Under the Securities Exchange Act of 1934; Amendments Regarding the FOCUS Report; Federal Register Vol. 90, Issue RULE 2024-30433 II SECURITIES AND EXCHANGE COMMISSION 2025-03-24 Release Nos. 33-11342 34-101925 IC-35420 File No. S7-08-23 8011-P 2024-30433 Final rule.

The Securities and Exchange Commission ("Commission" or "SEC") is amending its rules to require electronic filing or submission of certain forms and other filings or submissions that are required to be filed with or submitted to the Commission under the Securities Exchange Act of 1934 ("Exchange Act") and the rules and regulations under the Exchange Act. The amendments require the electronic filing or submission on the Commission's Electronic Data Gathering, Analysis, and Retrieval ("EDGAR") system, using structured data where appropriate, for certain forms filed or submitted by self- regulatory organizations ("SROs"). The amendments require the information currently contained in Form 19b-4(e) to be publicly posted on the SRO's website and remove the manual signature requirements for SRO proposed rule change filings. The Commission is also requiring that a clearing agency post supplemental material to its website. In addition, the Commission is amending rules under the Exchange Act and the Securities Act of 1933 ("Securities Act") to require the electronic filing or submission on EDGAR, using structured data where appropriate, of certain forms, reports, and notices provided by broker- dealers, security-based swap dealers, and major security-based swap participants. The amendments also require withdrawal in certain circumstances of notices filed in connection with an exception to counting certain dealing transactions toward determining whether a person is a security-based swap dealer. Finally, the Commission is allowing electronic signatures in certain broker-dealer filings, and amending the Financial and Operational Combined Uniform Single Report ("FOCUS Report") to harmonize with other rules, make technical corrections, and provide clarifications.

Effective date: March 24, 2025. For Form 1--Justin Pica, Assistant Director, and David Remus, Special Counsel; for Form 1-N--David Dimitrious, Senior Special Counsel, and Michou Nguyen, Special Counsel; for Form 15A--Molly Kim, Assistant Director, and David Michehl, Special Counsel; for Form CA-1--Matthew Lee, Assistant Director, and Claire Noakes, Senior Special Counsel; for Form 19b-4(e) and technical amendment to Form 19b-4--Cristie March, Senior Special Counsel, and Edward Cho, Special Counsel; for Rule 17a-22--Matthew Lee, Assistant Director, and Susan Petersen, Special Counsel; for Rule 17a-5, Rule 17a-12, Rule 18a-7, Form X-17A-5 Part III and related annual filings, Form X-17A-5 Parts II, IIA, and IIC, Form 17-H, and Form X-17A-19-- Raymond A. Lombardo, Assistant Director, and Valentina Minak Deng, Special Counsel; for notices provided pursuant to Rule 3a71-3(d)(1)(vi) and Rule 15fi-3(c)--Carol McGee, Associate Director; John Guidroz, Assistant Director, and Israel Goodman, Senior Counsel; and for reports submitted pursuant to Rule 15fk-1(c)(2)(ii)(A), Kelly Shoop, Branch Chief, and Patrick Bloomstine, Attorney-Adviser, Division of Trading and Markets, at (202) 551-5500, Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549. 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Table of Contents: AE 2.7: GS 4.107: AE 2.106: KF70.A2 https://www.govinfo.gov/app/details/FR-2025-01-21 P0b002ee1cf5fc18b 0097-6326 0042-1219 0364-1406 769-004-00000-9 000582072 f:fr21ja25 https://www.govinfo.gov/app/details/FR-2025-01-21 https://www.govinfo.gov/content/pkg/FR-2025-01-21/pdf/FR-2025-01-21.pdf https://www.govinfo.gov/content/pkg/FR-2025-01-21/xml/FR-2025-01-21.xml fdlp 6777 7648 DGPO 2025-01-21 2025-01-21 FR-2025-01-21 machine generated eng FR FR-2025-01-21 90 12