SEC Form 424B2 is crucial for delayed securities offerings, providing investors with key details like pricing and ...

SEC Form N-1A is essential for registering open-end mutual funds and ETFs, detailing investment objectives, fees, and ...

To help retail investors better understand the services, fees, costs, conflicts of interest, and required standards of conduct that apply to relationships with broker-dealers (Broker-Dealers), ...

On May 3, 2023, the Securities and Exchange Commission (the SEC) adopted, on a 3-2 vote, 1 amendments to Form PF requiring certain current event reporting for Large Hedge Fund Advisers (as defined ...

Guidance from the Securities and Exchange Commission late last month could limit RIAs’ ability to define themselves in their Forms CRS as fiduciaries, according to the Institute for the Fiduciary ...

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...

Thirteen private fund advisors have been fined $75,000 each for repeatedly failing to file required Securities and Exchange Commission forms over a period of years, the SEC announced Friday. The firms ...

The Securities and Exchange Commission has added a section to its 18-part frequently asked questions page to help registered municipal advisors complete Forms MA, MA-I and MA-NR. "In our efforts to ...