Forms

This IM Guidance Update is meant to assist institutional investment managers that may wish to request confidential treatment for certain information reported on Form 13F by ...

This IM Guidance Update is meant to assist institutional investment managers that may wish to request confidential treatment for certain information reported on Form 13F by ...

While Forms ADV and PF may be close to your heart, know that there is a slew of other federal regulatory forms that certain advisers ...

With only days before many institutional money managers will file their first Form 13F in the new electronic format, the SEC has released 10 new ...

Two new FAQs from the SEC provide guidance on what are considered securities for Form 13F, just days before technical changes are due for the ...

This only interests you if you're with an institutional investment manager with discretion over at least $100 million in such assets and are a bit ...

The staff recently was asked for its views on whether the 3.8% tax should be included in determining the highest individual marginal federal income tax ...

This time of the year government regulatory filings can feel like confetti falling after the Super Bowl. Take what's facing advisers that are tri-registered - ...

Click here to open an Excel file that a peer shares. It is a worksheet designed to track key information on trade errors.  

A New York registered rep, over the course of seven years and 11 employers, failed to disclose on his Form U4 that he was subject ...