Forms

This form, courtesy of Ben Anderson, principal with Anderson PLC in Minneapolis, could be used for staff to seek permission to use their personal devices ...

This is an example of a questionnaire you can use to comply with the SEC's so-called bad actors rule. This comes courtesy of the consulting ...

A peer shares a DDQ for new products

The rule amendments are effective October 2, 2023. The amendments to Forms N–1A and N–CSR are effective October 2, 2023 and the amendments to Forms ...

This is the paper version of Form PF. The SEC now requires electronic reporting of these data

This is the revised section 3 of Form PF that the SEC changed in 2023. Liquidity risk providers will have to begin completing this section ...

"Today’s rule draws upon lessons learned from both 2008 and 2020. First, it removes the link between liquidity fees and redemption gates, on the one ...

"Today’s rules will amend Form PF for large liquidity fund advisers to align their reporting requirements with those of money market funds. Taken together, the ...

"Unfortunately, it appears the Commission is poised to repeat the errors of the past.  This time it may even be worse, as the final rule ...

This checklist comes courtesy of Steven Felsenthal, GC/CCO at Millburn Ridgefield Corp. in New York