Forms

Forms BD, U4, U5 and other registration forms contain personal information that must be protected. FINRA has released guidance on how to protect this sensitive ...

The Securities and Exchange Commission (the ‘‘Commission’’) is adopting a temporary final rule that requires funds in larger fund groups to maintain in their records ...

Signs point to the CFTC going ahead with its new requirement that firms alert the Commission if they qualify for an exemption from the new ...

You won’t be expected to adopt an accrual accounting method to satisfy the new requirement to report financial ratios on your reports to the National ...

Form N-1A is to be used by open-end management investment companies, except insurance company separate accounts and small business investment companies licensed under the United ...

Along with everyone else in the financial services industry, FINRA has clearly been reading the stories detailing the Wells Fargo’s sales scandal (BD Watch, Nov. ...

It only affects certain investment advisers but know that if you manage more than $200 million in foreign securities, you must file Treasury Form SHC ...

Not timely reporting more than 365 required filings over a span of several years and, on average, making these filings over four years late is ...

Securities lending, repurchase agreements, counterparties, derivatives, assets/liabilities, outflows, holdings – even if a fund’s CCO has changed since the last report – are among the ...

Form the SEC has created for open-end mutual funds to report their liquidity status to the agency.