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ARTICLE · 07 JUNE 2022

SEC Updated Electronic Filing Requirements

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Among other documents, this new requirement will apply to Form 144 and to "glossy" annual reports to security holders.

United StatesCorporate/Commercial Law
Laura Richman
Laura Richman
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On June 3, 2022, the US Securities and Exchange Commission (SEC) updated electronic filing requirements, making it mandatory to submit certain documents to the SEC electronically via EDGAR. Among other documents, this new requirement will apply to Form 144 and to "glossy" annual reports to security holders. The amendments will also require the use of Inline XBRL for the financial statements and accompanying notes to the financial statements required by Form 11-K. The amendments will be effective 30 days after publication in the Federal Register, although the SEC provided for later compliance dates to facilitate transition.

Form 144. Rule 144 is an SEC safe harbor from the registration requirements of the Securities Act of 1933 for resales. If a person satisfies Rule 144's specific criteria for not being deemed engaged in a distribution, that person will not be treated as an underwriter and therefore will be eligible to rely on the Section 4(a)(1) exemption from

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