Forms

It’s coming soon. The deadline later this summer for advisers that must report 13F securities to reveal their proxy votes on the so-called say-on-pay issue

The SEC gave 18 months for mutual fund and ETF advisers to get ready to comply with its new rules for tailored shareholder reports. Given ...

This is the new Form N-PX that, under a new SEC final rule, mutual fund and ETFs advisers and certain institutional managers. Do not use ...

HG Vora Capital Management failed to file the required Schedule 13D disclosing its “control” purpose, current shareholdings, and other specified information within ten days

This is FinCEN's proposal that would require investment advisers and private funds to report certain real estate transactions

This sample log comes courtesy of Lisa Marsden, president of Coulter Strategic Services in Coral Springs, Fla.

Some commenters also asserted that the proposed amendment to Rule 13d-1(b) raises significant concerns regarding harm to investment advisers and funds and would impose substantial ...

"Today’s adoption is about reducing overall information asymmetries in the market, promoting transparency, allowing better-informed decision-making by investors, and improving liquidity, by shortening the filing ...

"My concerns extend also to the 13G changes, which would shorten filing timelines for large investors with no control intent.[19] Shortening filing deadlines for investors who ...

"The amendments to filing deadlines for Schedules 13D and G are appropriate in light of advances in the communications and technology used by market professionals ...