The SEC Form 5 is a filing that must be made by companies that are subject to the reporting requirements of the Securities and Exchange Commission (SEC). The form provides an overview of the company’s financial condition and results of operations. The form must be filed within 60 days after the end of the company’s … Read more
The Securities Industry Regulatory Authority (SIRA) is a non-profit organization that regulates the securities industry in the United States. SIRA is responsible for ensuring that the securities industry operates fairly and transparently, and that investors are protected from fraud and abuse. How much does Psira cost? In order to become a registered security guard with … Read more
A proxy statement is a disclosure document that is required to be filed with the U.S. Securities and Exchange Commission (SEC) by a company that is soliciting proxies for its annual shareholder meeting. The proxy statement provides shareholders with information about the company’s executive compensation, board of directors, and corporate governance. It also includes information … Read more
SEC Form 17-H is a form filed with the Securities and Exchange Commission (SEC) by investment advisers who are registered with the SEC. The form is used to provide information about an adviser’s business, including its ownership structure, investment strategies, and compensation arrangements. Do private companies file with SEC? No, private companies are not required … Read more
The SEC Form 424B3 is a form that must be filed by an issuer of securities who is registered with the Securities and Exchange Commission (SEC). The form is used to provide information about the issuer’s business and financial condition. The form must be filed with the SEC prior to the sale of any securities … Read more
SEC Form N-2 is a registration statement filed with the Securities and Exchange Commission (SEC) by investment companies that offer securities in multiple classes. The form provides information about the investment company’s organizational structure, investment objectives, and principal investment strategies. Who must file a Form 4? According to the U.S. Securities and Exchange Commission, any … Read more
The Alternative Investment Fund Managers Directive (AIFMD) is a directive of the European Union (EU) that regulates the activities of alternative investment fund managers (AIFMs). The directive came into force on 21 July 2011. AIFMD requires AIFMs to be authorised and to comply with certain rules, including rules on organisation, risk management, capital requirements, and … Read more
The SEC Form F-4 is a document that is filed with the Securities and Exchange Commission (SEC) in order to register a security for sale. The form is used for both primary and secondary offerings. The F-4 must be filed before any securities can be sold in the offering. The form includes information about the … Read more
The SEC Form T-1 is a filing that must be made by all investment companies that are registered with the SEC. The form contains information about the company’s organizational structure, investment objectives, and investment strategies. Where can I find SEC forms? The best place to find SEC forms is on the SEC website. You can … Read more
The National Futures Association (NFA) is a regulatory body for the U.S. futures industry. The NFA is a self-regulatory organization that sets standards for futures brokers and registered firms. The NFA definition is the set of rules and regulations that govern the activities of NFA member firms. These rules and regulations are designed to protect … Read more
