Forms

This SEC document is required to be completed quarterly by investment managers with discretion over accounts holding Section 13(f) securities that have an aggregate fair ...

If you're one of those investment advisers with control over certain foreign accounts necessitating the filing of the annual Report of Foreign Bank and Financial ...

Although the IRS last year expanded its definition of financial institutions to include investment advisers, most RIAs aren't expected to fall under the jurisdiction of ...

The staff has observed that a significant number of these comments relate to a handful of Items on the Form. In order to assist applicants ...

It started as a routine exam by a state regulator in 2007 and seven years later remnants of the case languish in court as a ...

Many advisers registered as commodity pool operators or trading advisors in the last year. Even those that have exemptions from registering with the CFTC must ...

Some of you are expected to file this week for the first time Treasury TIC B forms because last year the Federal Reserve expanded the ...

This final rules affects futures and swap market participants by allowing the CFTC to see position and transaction reporting by requiring the electronic submission of ...