Forms

This is a Suspicious Activity Report or a SAR, a document advisers may wish to file with the government to alert it of possible money ...

Thank Dodd-Frank for two new proposed rules advanced by SEC commissioners last week. The more substantial one would force private fund advisers to report either ...

In yet another action inspired by Dodd-Frank, the SEC last week issued a proposed rule that would force institutional investment managers of funds with more ...

The SEC has joined with seven other federal agencies to offer a Web site you can use to construct the appropriate privacy notice for your ...

With a June deadline staring everybody in the face, the Treasury Department is proposing backing away from requirements that certain funds and advisers accepting off-shore ...

It was about a year ago that the SEC began requiring all Form D filings to be done electronically, effectively tossing the old paper document ...

The struggle to find a compliant privacy notice to give clients ended last week, as the SEC and seven other federal agencies finally agreed to ...

NASAA reminds that Nov. 14th is the deadline to complete six new disclosure questions added this year to Form U4 if you haven't done ...

You have until Tuesday to comment to the North American Securities Administrators Association about the changes being made to the U4 and U5 forms (IA ...

If your firm employs state-registered reps or is dually registered, changes to Form U4 and U5 could be important. By November, firms will have to ...