Forms

Form N-PORT is to be used by a registered management investment company, or an exchange-traded fund organized as a unit investment trust, or series thereof ...

Form N-CEN is to be used by all registered investment companies, other than face-amount certificate companies, to file annual reports with the Commission. Such reports ...

The Securities and Exchange Commission is adopting new rules and forms as well as amendments to its rules and forms to modernize the reporting and ...

Should the CFTC approve, you’ll have to report two financial ratios on future  Form PQR and Form PR filings.   The National Futures Association has ...

This week can mark an important milestone for some large banks and investment advisers in the U.S. under the Foreign Account Tax Compliance Act (FATCA). ...

It’s possible that by the time you read this, the NFA will have the power to fine CPOs and CTAs $200 per day when they’re ...

Last year, FINRA ratcheted up fines for firms falling short on their Form U4 reporting obligations. It’s not done yet.   RBC Capital Markets agreed ...

The proposed rule would expand and clarify the exemptions for certain U.S. persons with signature or other authority over foreign financial accounts. In addition, the ...

June 30 is the deadline for filing an FBAR report if you hold financial interests overseas (IA Watch, Jan. 8, 2015). A new proposal from ...

For years, individuals owning foreign assets greater than $50,000 have had to file Form 8938 (statement of specified foreign financial assets) with their annual tax ...