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These are the instructions for filling out the Form ADV, Part 1
The change will confirm the different filing deadlines that CPOs face regarding NFA Form PQR to match the CFTC's
A CFTC final rule amending Form CPO-PQR last fall precipitated the new FAQs
The SEC's Division of Investment Management publishes FAQs giving guidance to mutual fund advisers on their compliance obligations regarding required filings
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 ...
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