Forms

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 ...

It appears more than a few of you were taken by surprise by the March 2nd deadline to file Treasury DepartmentForm SHC, which the government ...

This is a draft guide produced by the SEC in 2012 to help firms that wish to file their Form PFs using an XML Format.

This is the form the CFTC devised to satisfy its 2012 rule for pool quarterly reporting by commodity pool operators. It's technically called CFTC Form ...

IA Watch has learned that the SEC has begun sending firms their large trader IDs (IA Watch, Nov. 21, 2011). As predicted, the mailing began ...

Firms considered to be large traders had to file new Form 13H by December 1 (IA Watch, Nov. 21, 2011). Some of your peers already ...