Forms

A too narrow interpretation about requirements surrounding the disclosure of customer complaints resulted in LPL Financial failing to file or amend registered reps’ Forms U4 ...

Declare it a smooch from the CFTC. The five commissioners voted unanimously to issue a new proposed rule that falls under the Commission’s Project KISS ...

It seems the way many CPOs/CTAs have computed their quarterly financial ratios reported to the NFA hasn’t added up. The NFA has released new guidance ...

Form N-LIQUID is to be used by a registered open-end management investment company, or series thereof (“fund”), under the Investment Company Act of 1940 (15 ...

This is the SEC's Form N-Port, including filing instructions.

Last week, FINRA commenced an enhanced disclosure review process for public financial records of those individuals seeking registration with the broker-dealer. The move—the latest under ...

We are adopting revisions to forms filed under the Securities Exchange Act of 1934 (“Exchange Act”) to eliminate the portion of those forms that requests ...

Four pages may seem incredibly short when you have to stuff it with reams of data and required language while keeping it “easy to read” ...

Supplemental Information for Entities Directed to Supply Information to the Commission Other Than Pursuant to Commission Subpoena

This document makes a technical correction to a form amendment that was published in the Federal Register on July 1, 1997 (62 FR 35338). The ...