What are the disclosure requirements for investment companies?

... do business in ... Thus, an adviser, including an exempt reporting adviser (ERA), that is not registered with SEC would not qualify as this type of entity. 'What did you mainly do in your job?' (Open). Note: Check for any special qualifications, training, etc needed to do the job. 10.2.2 Employment status/size ... What can I do to help prevent outages? One of the easiest ways members can help SEC increase the reliability of our system is to report trees growing near power ... Oct 19, 2023 ... Practice point: The SEC did not adopt the proposed amendment to Rule 13d‑5 that would have defined “group” to include investors that tip their ... Did You Know? History of Massachusetts · Archaeology Resources for ... [email protected]. Connect with Us. Instagram · YouTube · Terms and Conditions ... Do you live in a Voter's Choice Act County? To find out, visit: Participating counties. The 2025 John Lewis Youth Leadership Award nomination period is here! This law will automatically seal certain criminal records after a required waiting period – three years after conviction or release from jail for a misdemeanor. Mar 25, 2025 ... Therefore, they are not legally binding, but they do influence how SEC staff operate. ... Under Acting Chair Mark Uyeda, the SEC is already on the ... Jan 23, 2025 ... The SEC's mission is to protect investors; maintain fair, orderly, and efficient markets; and facilitate capital formation. The SEC has up ... Do NOT file your Partial ADV-W until your application for SEC registration is approved or you will be unregistered and may be unable to conduct your ...