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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
The proposal calls for raising the reporting threshold from $100M to $3.5B
Lee claims estimated cost savings 'grossly overstated'
"I am concerned that the projected cost savings in today’s proposal are greatly overstated and wholly inconsistent with the Commission’s past analysis"
How to direct your 13F questions to the SEC
The proposal would eliminate the ability to file a Form PF with the SEC to satisfy a CPO’s obligation to file Form CPO-PQR
the proposal would eliminate the pool-specific information currently required to be reported in Schedules B or C of the form
Forms U4/U5 and continuing ed are the latest focus items
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, ...
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