Forms

One of the difficult aspects of the SEC's new Form PF is that there is no single compliance date. Your compliance deadline depends upon what ...

You should be able to take the new Form ADV, Part 1 for a test drive beginning today - if you want to see how ...

This is a firm's example of an attestation form that the staffer acknowledging compliance with the firm's policy.

This week the Commission "will consider whether to adopt" its proposed Form PF rule that would require hedge and other private fund advisers to report ...

The government's thirst for industry data seems unquenchable. The latest example comes from the Treasury Department and could affect advisers with more than $1 billion ...

Last week SEC commissioners reacted to the flash crash of May 6, 2010 by unanimously approving a final rule that requires large traders - including ...

This is a Suspicious Activity Report or a SAR, a document advisers may wish to file with the government to alert it of possible money ...

Thank Dodd-Frank for two new proposed rules advanced by SEC commissioners last week. The more substantial one would force private fund advisers to report either ...

In yet another action inspired by Dodd-Frank, the SEC last week issued a proposed rule that would force institutional investment managers of funds with more ...

The SEC has joined with seven other federal agencies to offer a Web site you can use to construct the appropriate privacy notice for your ...