Content Areas

Search Terms


 See More >

Date Range



Forms (121)
Your search for Forms returned 121 results.
Sorted by Date

11/30/2018 | Content area: Investment Adviser
This document makes technical corrections to several amendments to Form N-1A, which the Commission adopted as part of three rulemakings: Investment Co...
11/15/2018 | Content area: Investment Adviser
The financial services industry has been clamoring for changes to the SEC’s proposed customer relationship summary form since it was proposed last Apr...
11/15/2018 | Content area: Investment Adviser
Next month, larger mutual funds will begin filing liquidity data on SEC Form N-CEN. Ahead of that deadline, the SEC’s Division of Investment Managemen...
10/11/2018 | Content area: CPO/CTA
It seems the way many CPOs/CTAs have computed their quarterly financial ratios reported to the NFA hasn’t added up. The NFA has released new guidance ...
10/11/2018 | Content area: CPO/CTA
Declare it a smooch from the CFTC. The five commissioners voted unanimously to issue a new proposed rule that falls under the Commission’s Project KIS...
9/19/2018 | Content area: Investment Adviser
Form N-LIQUID is to be used by a registered open-end management investment company, or series thereof (“fund”), under the Investment Company Act of 19...
9/18/2018 | Content area: Investment Adviser
This is the SEC's Form N-Port, including filing instructions.
4/26/2018 | Content area: Investment Adviser
Four pages may seem incredibly short when you have to stuff it with reams of data and required language while keeping it “easy to read” and in a font ...
4/26/2018 | Content area: Investment Adviser
We are adopting revisions to forms filed under the Securities Exchange Act of 1934 (“Exchange Act”) to eliminate the portion of those forms that reque...
4/17/2018 | Content area: Investment Adviser
Supplemental Information for Entities Directed to Supply Information to the Commission Other Than Pursuant to Commission Subpoena
1/25/2018 | Content area: Investment Adviser
This document makes a technical correction to a form amendment that was published in the Federal Register on July 1, 1997 (62 FR 35338). The Commissio...
12/14/2017 | Content area: Investment Adviser
The Securities and Exchange Commission (the ‘‘Commission’’) is adopting a temporary final rule that requires funds in larger fund groups to maintain i...
8/03/2017 | Content area: CPO/CTA
Signs point to the CFTC going ahead with its new requirement that firms alert the Commission if they qualify for an exemption from the new position li...
4/13/2017 | Content area: CPO/CTA
You won’t be expected to adopt an accrual accounting method to satisfy the new requirement to report financial ratios on your reports to the National ...
4/09/2017 | Content area: Investment Adviser
These are the instructions for filling out the Form ADV, Part 1.
1/06/2017 | Content area: Investment Adviser
Form N-1A is to be used by open-end management investment companies, except insurance company separate accounts and small business investment companie...
1/06/2017 | Content area: Investment Adviser
This is a section of the SEC Form N1-a, which is used by mutual funds. This particular section, on the calculation of performance data, has been cited...
12/08/2016 | Content area: Investment Adviser
It only affects certain investment advisers but know that if you manage more than $200 million in foreign securities, you must file Treasury Form SHC ...
10/20/2016 | Content area: Investment Adviser
Securities lending, repurchase agreements, counterparties, derivatives, assets/liabilities, outflows, holdings – even if a fund’s CCO has changed sinc...
10/19/2016 | Content area: Investment Adviser
Form the SEC has created for open-end mutual funds to report their liquidity status to the agency.

Did you find what you were looking for?

Leave your comments below regarding what you are looking for and someone from our team will reach out to help you.