Section 13(d) of the 1934 Act and Regulation 13D thereunder require beneficial owners of more than 5% of a class of equity securities of a publicly traded company to…
SEC-registered investment advisers SEC-registered are subject to various ongoing compliance obligations. In addition to amending Form ADV, adviser must comply with the following requirements: Annual Surprise Audit by…
first and third fiscal quarter on Form N-Q within 60 days after the end of the quarter. Reports to Shareholders. Investment companies must transmit semi-annual and annual reports to shareholders….
Broker-dealers are subject to various ongoing compliance obligations, including: Minimum net capital Broker-dealers must maintain minimum amounts of liquid assets, or net capital. The required minimum net capital level…
Broker-dealer compliance Fund compliance Investment adviser compliance Print…
The 1933 Act requires any offer or sale of securities to be registered with the SEC unless an exemption from registration is available. Registered investment companies register their securities for…
business with the public (either retail or institutional)? Do you make a market in, or quote prices for both purchases and sales of, one or more securities? Do you participate…
in relation to their associated persons: A completed online Form 8-R Fingerprint cards A Principal Application Fee of $85.00 An Associated Person Application Fee of $85.00 Print…
fee of $200.00 CPO Membership Dues of $750.00 A CPO is required to file the following in relation to its “principals” and “associated persons”: A completed online Form 8-R…
in the state where it maintains its principal office and place of business, or if registered would not be subject to examination by the state’s securities commissioner. In June…
Investment Fund Law Blog