Forms

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 ...

If your firm issues unregistered securities, it's probably familiar with Form D - which gives the SEC notice within 15 days of an initial sale. ...

Later this year, the first batch of public companies will use an Internet markup language specially created for financial reporting to file their required documents ...

No-Action Letter under Investment Company Act of 1940 – Section 34(b) Securities Act of 1933 – Section 5(b) Lindbergh Funds October 30, 2002 Response of ...