Nonprofit Quick Tip: State Filings in Kentucky and Tennessee
For most investment advisers, March signals the beginning of Form ADV season, where compliance officers gather all kinds of firm data to update a document fraught with potential regulatory liability. For the uninitiated, Form...more
The U.S. federal securities laws, the Commodity Exchange Act and regulations thereunder, and certain other applicable federal laws, rules and regulations, as well as rules of U.S. self-regulatory organizations (such as the...more
On November 5, the Division of Swap Dealer and Intermediary Oversight of the Commodity Futures Trading Commission published responses (Responses) to frequently asked questions regarding Forms CPO-PQR and CTA-PR (Forms). The...more