What is SEC Form N-1A? A Comprehensive Guide for Investors

SEC Form N-1A is essential for registering open-end mutual funds and ETFs, detailing investment objectives, fees, and ...

SEC Form 424B2: Essential for Delayed Securities Offerings

SEC Form 424B2 is crucial for delayed securities offerings, providing investors with key details like pricing and ...
JD Supra

SEC Further Extends Form PF Compliance Date and Signals Broader Reconsideration

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, ...
The National Law Review

SEC and CFTC Further Delay Form PF Compliance Date to October 1, 2025

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 ...
JD Supra

SEC Updates Marketing Rule and Form PF FAQs in Short Succession

On March 19, the SEC issued updates to its FAQs regarding compliance with Rule 206(4)-1 of the Advisers Act (the Marketing Rule) addressing (i) when gross and net performance are required for certain ...