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The CFTC and NFA are granting CPOs/CTAs additional time to file regulatory obligations given the coronavirus crisis
The Commission intends to continue to monitor the current situation
Taking this action will stop future NFA notices alerting you to file Form PR
Forms U5 offer FINRA critical insight to help the SRO identify and investigate potential misconduct and sanction individuals if warranted. That opportunity was lost when ...
Both the missing transactions and inaccurate data reported were caused primarily by Stifel’s utilization of “trade compression,” a process by which data relating to multiple ...
This document makes technical corrections to certain amendments to the Commission’s disclosure rules and forms adopted in Release No. 33-10618 (March 20, 2019), which was ...
The SEC has upheld a FINRA panel’s decision to suspend the CCO of a Syosset, New York-based broker-dealer for four months for failing to disclose ...
Form CRS or elationship summary.
In a bid to provide greater flexibility to broker-dealers withdrawing their registration, the SEC has approved amendments to FINRA rule 4570 affording firms the option ...
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 ...
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 Administration, ...
This is the SEC form required to be filed by large traders.
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 ...
The Commodity Futures Trading Commission (the ‘‘Commission’’ or ‘‘CFTC’’) is revising its Form 7–R, the application form that entities must use to register with the Commission ...
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 reports on ...
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 initial ...
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 ...
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”) ...
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