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
8-K (8K Form): What It Is, What It Tells You, and Filing Requirements. What requires an 8-K filing? An 8-K filing is typically required when a company has a material event that could impact its financial condition or operations. Some examples of events that would require an 8-K filing are: – A change in the … Read more
A legend is a short description of a securities transaction that is used to help the investor understand the nature of the transaction. The legend will typically include the name of the security, the date of the transaction, the type of transaction, the price of the security, and the number of shares traded. What is … Read more
SEC Form 10 is a regulatory filing that must be submitted by companies who wish to go public in the United States. The form must be filed with the Securities and Exchange Commission (SEC) and contains information about the company’s business, financial condition, and management. What was the SEC during the Great Depression? The SEC … Read more
The SEC Form 10-D is a document that is filed with the Securities and Exchange Commission (SEC) by a company that is registering a class of securities with the SEC. The form must be filed within 120 days after the end of the fiscal year. The Form 10-D includes information about the company’s business, financial … Read more
The SEC Form F-3 is a filing that must be made by companies that wish to sell securities in the United States through a “shelf registration” process. This form is used by foreign companies that are not already registered with the SEC. The F-3 must include all of the information that would be required in … Read more
