The SEC will be closed on Monday, January 16, 2012  in observance of Martin Luther King Day. With the EDGAR system closed, filers will not be permitted to submit filings to the EDGAR system. Filings submitted after 5:30 pm EST, Friday January 13, 2012, will be disseminated Tuesday January 17, 2012 at 6:00 am and receive a January 17, 2012 filing date.

The following Form Types are exceptions and are accepted by EDGAR until 10:00 p.m. ET Friday, January 13, 2012, receiving a same day filing date.

• Section 16 filings (3, 3/A, 4, 4/A, 5, 5/A)
• CORRESP filings (not immediately disseminated to the public)

If a filing due date falls on a weekend or SEC holiday, the filing due date will fall on the following business day pursuant to Securities Exchange Act of 1934 Rule 0-3 (a).

A detailed list of upcoming SEC/EDGAR holidays is available on our website at http://www.secfile.net/SEC_calendar.htm

Happy New Year from all of us at Securex!

The SEC will be closed on Monday, January 2, 2012 for the New Year. With the EDGAR system closed, filers will not be permitted to submit filings to the EDGAR system. Filings submitted after 5:30 pm EST, Friday December 30, 2011 will be disseminated Tuesday January 3, 2012 at 6:00 am and receive a January 3, 2012 filing date.

The following Form Types are exceptions and are accepted by EDGAR until 10:00 p.m. ET Friday, Friday December 30, 2011, receiving a same day filing date.

• Section 16 filings (3, 3/A, 4, 4/A, 5, 5/A)
• CORRESP filings (not immediately disseminated to the public)

If a filing due date falls on a weekend or SEC holiday, the filing due date will fall on the following business day pursuant to Securities Exchange Act of 1934 Rule 0-3 (a).

A detailed list of upcoming SEC/EDGAR holidays is available on our website at http://www.secfile.net/SEC_calendar.htm

Happy Holidays from all of us at Securex!

The SEC will be closed on Monday, December 26, 2011 for the Christmas holiday. With the EDGAR system closed, filers will not be permitted to submit filings to the EDGAR system. Filings submitted after 5:30 pm EST, Friday December 23 will be disseminated Tuesday December 27, 2011 at 6:00 am and receive a December 27, 2011 filing date.

The following Form Types are exceptions and are accepted by EDGAR until 10:00 p.m. ET Friday, December 23, 2011, receiving a same day filing date.

• Section 16 filings (3, 3/A, 4, 4/A, 5, 5/A)
• CORRESP filings (not immediately disseminated to the public)

If a filing due date falls on a weekend or SEC holiday, the filing due date will fall on the following business day pursuant to Securities Exchange Act of 1934 Rule 0-3 (a).

A detailed list of upcoming SEC/EDGAR holidays is available on our website at http://www.secfile.net/SEC_calendar.htm

Today, the SEC announced they will reduce the number of days they hold SEC comment letters and response letters (CORRESP) before releasing them through the EDGAR system. Beginning January 1, 2012, the SEC will release filing review correspondence a minimum of 20 days following the completion of the review instead of the current 45 days.

Included in the EDGAR Filer Manual (Volume I) General Information (Version 11) which was updated on November 21, 2011, the SEC lists changes to submission form types 13F-HR, 13F-NT and their amendments. Valid period dates have been updated to include March 31, June 30, September 30, or December 31.

The SEC has added an additional Applicant Type, ‘Municipal Advisor’, when completing the process to apply for SEC EDGAR Filer Access.  Filers may prepare and submit their Form ID applications directly through the Online EDGAR Filing website (https://www.filermanagement.edgarfiling.sec.gov/).  As always, Securex is here to assist you in successfully meeting your filing requirements. Feel free to contact the  Securex EDGAR filing team if you have any questions or if you require assistance with your filings. For Municipal Advisors that require assistance with the Form ID process please download our SEC Form ID Worksheet (Word format) www.secfile.net/forms/securex_form_id_worksheet.doc  and contact us at 877-SEC-FILE (877-732-3453).

From the all of us at Securex, we would like to wish you a Happy Thanksgiving!

The SEC will be closed Thursday November 24, 2011 for Thanksgiving. With the EDGAR system closed, filers will not be permitted to submit filings to the EDGAR system.

Filings submitted after 5:30 pm ET, Wednesday, November 23, 2011 will receive a filing date of Friday November 25, 2011 and will be disseminated at 6:00 am ET, Friday, November 25, 2011.

The following Form Types are exceptions and are accepted by EDGAR until 10:00 p.m. ET Wednesday, November 23, 2011, receiving a same day filing date.

• Section 16 filings (3, 3/A, 4, 4/A, 5, 5/A)
• CORRESP filings (not immediately disseminated to the public)

If a filing due date falls on a weekend or SEC holiday, the filing due date will fall on the following business day pursuant to Securities Exchange Act of 1934 Rule 0-3 (a).

A detailed list of upcoming SEC/EDGAR holidays is available on our website at http://www.secfile.net/SEC_calendar.htm

The SEC will be closed Friday, November 11, 2011 in honor of Veterans Day.  With the EDGAR system closed, filers will not be permitted to submit filings to the EDGAR system.

Filings submitted after 5:30 pm ET, Thursday, November 10, 2011 will receive a filing date of Monday, November 14, 2011 and will be disseminated at 6:00 am ET, Monday, November 14, 2011.

The following Form Types are exceptions and are accepted by EDGAR until 10:00 p.m. ET Thursday, November 10, 2011, receiving a same day filing date.

• Section 16 filings (3, 3/A, 4, 4/A, 5, 5/A)
• CORRESP filings (not immediately disseminated to the public)

If a filing due date falls on a weekend or SEC holiday, the filing due date will fall on the following business day pursuant to Securities Exchange Act of 1934 Rule 0-3 (a).

For a detailed list of upcoming SEC/EDGAR holidays is available at http://www.secfile.net/SEC_calendar.htm

Today, the SEC approved new rules that make it more difficult for companies to go public through a reverse merger and list on  the Nasdaq, NYSE, and NYSE Amex exchanges.

Under the new rules these three exchanges will impose tough new listing requirements for companies that become public through a reverse merger. In general, companies would be prohibited a company to list until they until:

• The company has completed a one-year “seasoning period” by trading in the U.S. over-the-counter market or on another regulated U.S. or foreign exchange following the reverse merger, and filed all required reports with the Commission, including audited financial statements.

• The company maintains the requisite minimum share price for a sustained period, and for at least 30 of the 60 trading days, immediately prior to its listing application and the exchange’s decision to list.

The full press release is available at: http://www.sec.gov/news/press/2011/2011-235.htm

An SEC investor alert issued prior to the new regulations is available at: http://www.sec.gov/investor/alerts/reversemergers.pdf

The Securities and Exchange Commission (SEC) recently adopted a new rule (Rule 13h-1) which requires filing of Form 13H.  This new rule is of interest to investment advisers because it requires “large traders” to register by filing new Form 13H with the SEC.  Once firms initial Form 13H is filed, the SEC will assign each large trader an identification number (LTID), which the large trader must then provide to its registered broker-dealers.  Rule 13h-1 becomes effective October 3, 2011, and large traders will have until December 1, 2011, to file Form 13H.

The final rule is available at: http://www.sec.gov/rules/final/2011/34-64976.pdf

Securex, as a full service financial printer and SEC filing agent, is able to assist your firm with filing Form 13H with the SEC. Please contact us at 877-SEC-FILE for assistance.