Forms

You couldn’t be faulted if you missed this one. The federal Bureau of Economic Analysis has brought back an old form – BE-13 – designed ...

(a)(1) Each person who files an application for registration as a retail foreign exchange dealer with the National Futures Association shall submit, concurrently with the ...

Forms on which to report may be obtained from any office of the Commission or via the Internet (http://www.cftc.gov). Forms to be used for the ...

(a) Identification of special accounts. When a special account is reported for the first time, the futures commission merchant, clearing member, or foreign broker shall ...

Unless otherwise instructed by the Commission or its designee, the reports required to be filed by reporting markets, futures commission merchants, clearing members, and foreign ...

Form N-17D-1 is hereby prescribed as the form for reports required by paragraph (d)(3) of §270.17d-1. Regulatory History 26 FR 11240, Nov. 29, 1961  

Every registration statement or report shall be prepared in accordance with the form prescribed therefor by the Commission, as in effect on the date of ...

This is the rule that requires certain investment companies to report their proxy voting

Every registered management investment company filing reports on Form N-SAR that changes its fiscal year end shall file a report on Form N-SAR not more ...

Notwithstanding the provisions of rules 30a-1 and 30b1-1, a registered investment company that is a totally-owned subsidiary of a registered management investment company need not ...