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Reporting Requirements Filing Requirements Investment Advisers Act of 1940

Seward & Kissel LLP

July 31 Deadline for BE-180 Reports

Seward & Kissel LLP on

The BE-180 is the quinquennial Benchmark Survey of Financial Services Transactions between U.S. Financial Services Providers and Foreign Persons (the “BE-180 Survey”) conducted by the U.S. Bureau of Economic Analysis (the...more

Proskauer Rose LLP

SEC Releases 16 New FAQs on Form PF

Proskauer Rose LLP on

On January 18, 2017, the SEC released 16 new FAQs relating to Form PF. Of these 16, 3 relate to general filing information and the remaining 13 are specific to particular sections of Form PF. As a reminder, Rule 204(b)-1...more

Stinson - Corporate & Securities Law Blog

SEC Updates Form ADV

The SEC has adopted final rules requiring investment advisers to provide additional information on Form ADV and other matters. The final rules: - require information about an investment adviser’s separately managed...more

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