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SEC modernizes submission of some forms and filings

Image of a pile of colorful CD-ROM discs.
Photo: Pawel Libera/Getty Images

The rule requires broker-dealers, securities-based swap dealers, exchanges, clearing agencies, and other SROs to submit forms in certain electronic formats.

The SEC just adopted amendments to require the electronic filing, submission, or posting of certain forms, filings, and other submissions that national securities exchanges, national securities associations, clearing agencies, broker-dealers, security-based swap dealers, and major security-based swap participants make with the agency.

Prior to the amendments, registrants filed many forms,

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