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This final rule requires electronic filing on EDGAR using structured data, permits electronic signatures in certain broker-dealer filings and updates FOCUS reports

“One of the ways that we’re prepping is anyone we think who is an individual that we think might have to report” as a beneficial ...

Here's what the FinCEN ID application looks like

Here's an example of FinCEN's beneficial ownership reporting form

This is the law behind FinCEN's new reporting requirements around beneficial ownership

Here are directions to help you obtain your FinCEN ID to make it easier to comply with the Corporate Transparency Act

Given that you must use EDGAR to file your electronic 13F, seek to 'identify the technicalities that can cause a filing to fail, such as ...

Sometimes data can be overwhelming, and understanding what it takes to meet the SEC’s 13F filing requirements can only add to the frustration. But with ...

It can amount to easy pickings for the SEC when an adviser has an obligation to file information with the Commission but neglects to fulfill ...

This was one of several new enforcement settlements announced regarding the responsibility to report beneficial owners. The SEC reminds that 'The duty to file is ...