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), ...
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, ...
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 ...
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SEC, CFTC propose major cuts to Form PF filing scope
The SEC and CFTC jointly proposed raising reporting thresholds and streamlining Form PF, aiming to ease compliance for nearly half of current filers while retaining critical systemic risk data. The ...
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 ...
Have you received a Form CRS in the mail from the investment firm(s) you do business with? This is a brand-new disclosure document mandated by the U.S. Securities and Exchange Commission. Why A New ...
Adam Hayes, Ph.D., CFA, is a financial writer with 15+ years Wall Street experience as a derivatives trader. Besides his extensive derivative trading expertise, Adam is an expert in economics and ...
Chairman Paul Atkins signaled that the SEC is on the verge of changing disclosure rules and liability shields for securities ...
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