Forms

(a) Definitions. For purposes of this section: (1) The term large trader means any person that: (i) Directly or indirectly, including through other persons controlled ...

(a) Form MA. A person applying for registration with the Commission as a municipal advisor pursuant to section 15B of the Act (15 U.S.C. 78o-4) ...

(a) Form MA-W. Notice of withdrawal from registration as a municipal advisor shall be filed on Form MA-W (17 CFR 249.1320) in accordance with the ...

(a) When amendment is required—Form MA. A registered municipal advisor shall promptly amend the information contained in its Form MA (17 CFR 249.1300): (1) At ...

(a)(1) Each non-resident municipal advisor applying for registration pursuant to section 15B(a) of the Act (15 U.S.C. 78o-4(a)) shall, at the time of filing of ...

Current report for open-end management investment companies

Each registered management investment company or exchange-traded fund organized as a unit investment trust, or series thereof, other than a registered open-end management investment company ...

(a) Until April 1, 2019, each registered management investment company subject to § 270.30b1–9 of this chapter must satisfy its reporting obligation under that section ...

No-action letter permitting, subject to certain conditions, commodity pool operators of certain commodity pools that are non-registered investment companies ("Parent Pools") that use wholly-owned trading ...