Carl Ayers
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 ...
Readers like lists – such as seven attributes of an effective CCO: 1. Regulatory knowledge; 2. Firm knowledge; 3. Industry experience; 4. Analytical intelligence; 5. ...
FINRA is again questioning the due diligence firms are conducting on private placement offerings (BD Watch, Dec. 20, 2018). But what exactly does the SRO ...
Select ideas to rev up your annual review based on what your peers are doing
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 N-3; ...
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 Small Business ...
Form N-3 shall be used by all separate accounts offering variable annuity contracts which are registered under the Investment Company Act of 1940 (“1940 Act”) ...
Form N-4 shall be used by all separate accounts offering variable annuity contracts which are registered under the Investment Company Act of 1940 (“1940 Act”) ...
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 ...
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 Investment ...