Forms

It's not likely advisers will have to file via EDGAR due to the new law, but if you do, the deadline is March 18

A snapshot of the SEC's revised Enforcement Manual, proposed changes to Form N-PORT, a look at states' actions targeting private equity and much more

The SEC says the 'primary benefit of the revised 45-day filing deadline would be to reduce the costs that funds might otherwise incur.... The associated ...

The Commission proposes to streamline or remove certain items from Form N-PORT to reduce the reporting burdens in ways that would not significantly affect the ...

The compliance dates for Form N-PORT amendments are extended to Nov. 17, 2027 for fund groups with net assets of $10 billion or more as ...

This is the SEC's proposed rule, released in February 2026, which would turn back the Commission's 2024 amendments that would have sped up the required ...

A peer created this checklist to add the firm's compliance with revised Reg S-P

The Commission corrects errors on and amends Form N–CEN

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