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Forms (143)
Your search for Forms returned 143 results.
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9/16/2019 | Content area: Broker-Dealer
Both the missing transactions and inaccurate data reported were caused primarily by Stifel’s utilization of “trade compression,” a process by which da...
8/27/2019 | Content area: Investment Adviser
A peer shares the firm's P&Ps and reporting form for handling trade errors.
8/06/2019 | Content area: Broker-Dealer
This document makes technical corrections to certain amendments to the Commission’s disclosure rules and forms adopted in Release No. 33-10618 (March ...
6/10/2019 | Content area: Investment Adviser | Broker-Dealer
Under rule 17a-14 under the Securities Exchange Act of 1934 and rule 204-5 under the Investment Advisers Act of 1940, broker-dealers registered under ...
4/25/2019 | Content area: Broker-Dealer
In a bid to provide greater flexibility to broker-dealers withdrawing their registration, the SEC has approved amendments to FINRA rule 4570 affording...
4/25/2019 | Content area: Investment Adviser
The near record, rising stock market has pushed some advisers over the threshold to where they are required to file Form 13F. The SEC mandates that ce...
3/21/2019 | Content area: Investment Adviser
Form N-2 is to be used by closed-end management investment companies, except small business investment companies licensed as such by the United States...
3/20/2019 | Content area: Broker-Dealer
This is the SEC form required to be filed by large traders.
3/08/2019 | Content area: CPO/CTA
It’s a good idea to give yourself a calendar reminder before your firm’s NFA membership’s anniversary date.   That’s because, as the NFA reminds, CPOs...
3/08/2019 | Content area: CPO/CTA
The Commodity Futures Trading Commission (the ‘‘Commission’’ or ‘‘CFTC’’) is revising its Form 7–R, the application form that entities must use to reg...
2/28/2019 | Content area: Investment Adviser
A new SEC interim final rule turns the planned monthly Form N-Port reporting by mutual funds into quarterly reports. The Commission also relaxes the i...
2/28/2019 | Content area: Investment Adviser
The Securities and Exchange Commission (the “Commission”) is adopting an interim final rule that will amend 17 CFR 270.30b1-9 (rule 30b1-9) to require...
2/07/2019 | Content area: Investment Adviser
Be aware that the SEC’s Division of Investment Management has changed nine key forms should your firm have to file any of these. The links below go to...
2/04/2019 | Content area: Investment Adviser
The following forms on the Commission’s website have been updated to reflect amendments recently adopted by the Commission: Form N-1A; Form N-2 ; Form...
2/04/2019 | Content area: Investment Adviser
Form N-2 is to be used by closed-end management investment companies, except small business investment companies licensed as such by the United States...
2/04/2019 | Content area: Investment Adviser
Form N-3 shall be used by all separate accounts offering variable annuity contracts which are registered under the Investment Company Act of 1940 (“19...
2/04/2019 | Content area: Investment Adviser
Form N-4 shall be used by all separate accounts offering variable annuity contracts which are registered under the Investment Company Act of 1940 (“19...
2/04/2019 | Content area: Investment Adviser
Form N-5 is to be used for registration under the Securities Act of 1933 of securities issued by any small business investment company which is regist...
2/04/2019 | Content area: Investment Adviser
Form N-6 is to be used by separate accounts that are unit investment trusts that offer variable life insurance contracts to register under the Investm...
2/04/2019 | Content area: Investment Adviser
This form shall be used as the form for registration statements to be filed, pursuant to Section 8(b) of the Investment Company Act of 1940, by unit i...


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