Forms

The near record, rising stock market has pushed some advisers over the threshold to where they are required to file Form 13F. The SEC mandates ...

Form N-2 is to be used by closed-end management investment companies, except small business investment companies licensed as such by the United States Small Business Administration, ...

This is the SEC form required to be filed by large traders

It’s a good idea to give yourself a calendar reminder before your firm’s NFA membership’s anniversary date.   That’s because, as the NFA reminds, CPOs ...

The Commodity Futures Trading Commission (the ‘‘Commission’’ or ‘‘CFTC’’) is revising its Form 7–R, the application form that entities must use to register with the Commission ...

The Securities and Exchange Commission (the “Commission”) is adopting an interim final rule that will amend 17 CFR 270.30b1-9 (rule 30b1-9) to require reports on ...

A new SEC interim final rule turns the planned monthly Form N-Port reporting by mutual funds into quarterly reports. The Commission also relaxes the initial ...

Be aware that the SEC’s Division of Investment Management has changed nine key forms should your firm have to file any of these. The links ...

The following forms on the Commission’s website have been updated to reflect amendments recently adopted by the Commission: Form N-1A; Form N-2 ; Form N-3; ...

Form N-2 is to be used by closed-end management investment companies, except small business investment companies licensed as such by the United States Small Business ...