JD Supra

SEC and CFTC Propose Form PF Amendments to Eliminate and Streamline Filing Requirements for Smaller Investment Advisers

On April 20, the U.S. Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) jointly issued proposed amendments ...
National Law Review

Regulators Hit Reverse: SEC and CFTC Move to Scale Back Form PF

On April 20, the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC, and together with the SEC, the “Agencies”) proposed a comprehensive overhaul of Form PF.
JD Supra

In Focus: SEC Form CRS Roadmap – How to Navigate Its Operational Challenges

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), ...
InvestmentNews

SEC fines 12 firms total of $292,523 in Form CRS enforcement actions

It's the agency's second round of Form CRS compliance cases. The SEC is encouraging firms to self-report delinquencies. By Mark Schoeff Jr. The SEC Tuesday fined 12 financial firms a total of $292,523 ...
Yahoo

SEC Forms New Cyber and Emerging Technologies Unit To Tackle Crypto Fraud and Cybercrime

On Feb. 20, 2025, the U.S. Securities and Exchange Commission (SEC) announced the creation of the Cyber and Emerging Technologies Unit (CETU) to combat cybercrime and fraud in the blockchain and ...
Investopedia

SEC Form 10-D: What It is, Benefits, Criticism

Mark Jahn is a financial writer, editor, consultant, and award-winning economist covering ETFs, stocks, cryptocurrencies, options, and more. Yarilet Perez is an experienced multimedia journalist and ...