Variable annuity contracts typically have a "free look" period of ten or more days. During this period, you are free…
Companies may use an exemption under Regulation D to offer and sell securities without having to register the offering with the SEC.…
Form CRS is a client or customer relationship summary. Advisers and brokers are required to deliver a relationship summary to…
Form ADV is the uniform form used by investment advisers to register with both the SEC and state securities authorities.…
In addition to filing annual reports on Form 10-K and quarterly reports on Form 10-Q, publicly reporting companies must report certain material corporate…
An institutional investment manager that uses the U.S. mail (or other means or instrumentality of interstate commerce) in the course…
The federal tax laws require brokerage firms, mutual funds, and other entities to report on Form 1099 all investment income,…
The federal securities laws require publicly reporting companies to disclose information on an ongoing basis. For example, domestic issuers must…
The federal securities laws require publicly reporting companies to disclose information on an ongoing basis. For example, domestic companies must…