Forms

The Commission estimates that, each month, approximately 1,000 Managers would trigger a Reporting Threshold for at least one security, and therefore be required to file ...

Timelier reporting would also allow other market participants, such as analysts and investment advisers, to better value the securities and make better recommendations

This form helps with documentation of rollovers

It’s been more than 50 years since initial Schedule 13D filing deadlines have been changed and the SEC appears poised to shorten the time periods, ...

"The Commission invents investor harm and unduly paints the selling shareholder as a victim"

"It would shorten the filing deadlines for Schedule 13D and Schedule 13G from 10 to 5 days, and 45 days from the end of the ...

"We believe that converting paper submissions to electronic submissions would allow the Commission, and those persons filing the submissions, to more effectively and efficiently navigate ...

This is an example of a form employees would sign annually attesting that they acknowledge receipt of compliance materials

“We believe that converting paper submissions to electronic submissions would allow the Commission, and those persons filing the submissions, to more effectively and efficiently navigate ...

"We should also take action to get the information we need about the effectiveness of Form CRS and the disclosures required under Regulation Best Interest, ...