Forms

This is the SEC's proposed new Form N-PX as part of a proposed rule that would require new reporting of proxy votes by mutual funds ...

At the risk of apostasy, I posit that proxy voting is not the most important activity in which a fund engages.  Although a fund’s voting ...

It is true that funds have come to own a huge percentage of U.S. corporate equities and can influence the outcome of a variety of ...

The change will confirm the different filing deadlines that CPOs face regarding NFA Form PQR to match the CFTC's

A CFTC final rule amending Form CPO-PQR last fall precipitated the new FAQs

The SEC's Division of Investment Management publishes FAQs giving guidance to mutual fund advisers on their compliance obligations regarding required filings

A regrouping of questions, along with better validations and completeness checks featured

The SEC’s website has been updated to include a new web intake form for no-action and interpretive letter requests

After seven years, the CFTC is changing Form CPO-PQR because it doesn't use all of the data the form requires CPOs to submit

This form must be completed by municipal advisors that are organized entities, including sole proprietors (referred to herein as “municipal advisory firms” or “firms,” unless ...