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The SEC seeks data through numerous forms. Three that have been around a long time are Forms 3, 4 and 5. They concern ownership of ...
This follows a CFTC no-action letter. In keeping with the CFTC's relief, NFA will no longer require those CTAs to file NFA Form PR under ...
The Division reasoned in CFTC Letter No. 14-115 that requiring these CPOs to file a Form CPO-PQR would provide limited additional information regarding the CPO ...
As business divorces go, the split between Scott McCaskill and David Urovsky spilled its fair share of bad blood. Both would be terminated by Raymond ...
It comes around every five years – but this anniversary is different. We’ve told you before about the Treasury’s Bureau of Economic Analysis laundry ...
The CFTC is proposing to amend the trade option exemption in its regulations, as described herein, in the following subject areas: Reporting requirements for trade ...
Make sure you monitor wage garnishment orders that come in concerning your employees to determine if they rise to the level of reportable events on ...
Many small B-Ds will have to strengthen checks of registration applicants under an SEC-approved FINRA rule that goes into effect July 1. And though the rule only ...
Depending on the size of the private fund marketed into the European Union, this could be the week for your firm to have to file ...
These firms didn't report accurately on CFTC Form 40.