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), ...

The Securities and Exchange Commission is requiring some financial forms that currently are allowed to be filed or submitted in paper format to be filed or submitted electronically. The SEC adopted a ...

On June 11, 2025, the Securities and Exchange Commission (“SEC”) voted to extend the compliance date for the most recently adopted amendments to Form PF by approximately four months, to October 1, ...

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 ...

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 ...

Have you received a Form CRS in the mail from the investment firm(s) you do business with? This is a brand-new disclosure document mandated by the U.S. Securities and Exchange Commission. Why A New ...

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 ...