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NASSA Streamlines Filing Process

On December 15th, the North American Securities Administrators Association (“NASAA”), a nonprofit group whose membership is comprised of state and provincial securities regulators devoted to investor protection, launched the Electronic Filing Depository (“EFD”) to streamline the filing process for exempt … Read More

Updates to Form PF

The list of reporting requirements for investment advisers (“IAs”) is constantly growing. As a joint initiative between the Securities and Exchange Commission (“SEC”) and the U.S. Commodity Futures Trading Commission (“CFTC”) under the U.S. Dodd-Frank legislation (“Dodd-Frank”), Form PF was … Read More

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