Forms

B-Ds can rely on the CRD system to maintain for recordkeeping purposes the Form U4 filing that individuals electronically sign through the FinPro Gateway

No enforcement action will be recommended if a firm relies on CRD to satisfy its record retention requirement for Form U4 filings electronically signed

Statement on Certain Form N-PORT Data Office of Public Affairs May 14, 2025 The staff of the Securities and Exchange Commission has determined that certain ...

Sources tell RCW that EDGAR doesn’t deserve the blame for the N-PX conversion issue. That Excel does. If this is true, you may find yourself ...

This is the revised Form PF as of May 2025

Given President Trump's directive, the SEC is extending the compliance dates of Form N-PORT changes to provide time for the Commission to complete its review

This final rule requires electronic filing on EDGAR using structured data, permits electronic signatures in certain broker-dealer filings and updates FOCUS reports

“One of the ways that we’re prepping is anyone we think who is an individual that we think might have to report” as a beneficial ...

Here's what the FinCEN ID application looks like

Here's an example of FinCEN's beneficial ownership reporting form