Forms

This is a draft guide produced by the SEC in 2012 to help firms that wish to file their Form PFs using an XML Format.

This is the form the CFTC devised to satisfy its 2012 rule for pool quarterly reporting by commodity pool operators. It's technically called CFTC Form ...

IA Watch has learned that the SEC has begun sending firms their large trader IDs (IA Watch, Nov. 21, 2011). As predicted, the mailing began ...

Firms considered to be large traders had to file new Form 13H by December 1 (IA Watch, Nov. 21, 2011). Some of your peers already ...

One of the difficult aspects of the SEC's new Form PF is that there is no single compliance date. Your compliance deadline depends upon what ...

You should be able to take the new Form ADV, Part 1 for a test drive beginning today - if you want to see how ...

This is a firm's example of an attestation form that the staffer acknowledging compliance with the firm's policy.

This week the Commission "will consider whether to adopt" its proposed Form PF rule that would require hedge and other private fund advisers to report ...

The government's thirst for industry data seems unquenchable. The latest example comes from the Treasury Department and could affect advisers with more than $1 billion ...

Last week SEC commissioners reacted to the flash crash of May 6, 2010 by unanimously approving a final rule that requires large traders - including ...