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A regrouping of questions, along with better validations and completeness checks featured
This form, courtesy of Ben Anderson, principal with Anderson PLC in Minneapolis, could be used for staff to seek permission to use their personal devices ...
This is an example of a questionnaire you can use to comply with the SEC's so-called bad actors rule. This comes courtesy of the consulting ...
The SEC’s website has been updated to include a new web intake form for no-action and interpretive letter requests
After seven years, the CFTC is changing Form CPO-PQR because it doesn't use all of the data the form requires CPOs to submit
This form must be completed by municipal advisors that are organized entities, including sole proprietors (referred to herein as “municipal advisory firms” or “firms,” unless ...
One director compared the existing Form CPO-PQR with “a Jackson Pollock painting” that badly needed updating
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 ...
Send your questions to this e-mail address IMCCO13F@sec.gov
We are proposing to amend rule 13f-1 and Form 13F to raise the reporting threshold for Form 13F to $3.5 billion
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