Forms

This sample log comes courtesy of Lisa Marsden, president of Coulter Strategic Services in Coral Springs, Fla.

Some commenters also asserted that the proposed amendment to Rule 13d-1(b) raises significant concerns regarding harm to investment advisers and funds and would impose substantial ...

"Today’s adoption is about reducing overall information asymmetries in the market, promoting transparency, allowing better-informed decision-making by investors, and improving liquidity, by shortening the filing ...

"My concerns extend also to the 13G changes, which would shorten filing timelines for large investors with no control intent.[19] Shortening filing deadlines for investors who ...

"The amendments to filing deadlines for Schedules 13D and G are appropriate in light of advances in the communications and technology used by market professionals ...

This form, courtesy of Ben Anderson, principal with Anderson PLC in Minneapolis, could be used for staff to seek permission to use their personal devices ...

This is an example of a questionnaire you can use to comply with the SEC's so-called bad actors rule. This comes courtesy of the consulting ...

A peer shares a DDQ for new products

The rule amendments are effective October 2, 2023. The amendments to Forms N–1A and N–CSR are effective October 2, 2023 and the amendments to Forms ...

This is the paper version of Form PF. The SEC now requires electronic reporting of these data