SEC Enhances Private Fund Reporting with Newly Adopted Amendments to Form PF

By | 03/18/2024 | 7:47 pm ET

 In a significant move towards bolstering transparency and risk management within the financial sector, the Securities and Exchange Commission (SEC) has announced the adoption of amendments to Form PF. This confidential reporting form targets certain SEC-registered investment advisers to private funds, including those dual-registered with the Commodity Futures Trading Commission (CFTC) as commodity pool operators or commodity trading advisers. The amendments, also concurrently adopted by the CFTC, focus on strengthening…

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Navigating the New SEC Amendments: Schedule 13G/D Filing Deadlines

By | 02/09/2024 | 7:44 am ET

The SEC finalized amendments to the Schedule 13G/D filing deadlines signify a pivotal shift in securities reporting and compliance requirements. These changes aim to enhance transparency and efficiency in the disclosure of equity ownership. The main changes involve the accelerated filing deadlines and expanded disclosure requirements. Introduction to the SEC's Latest Rule Changes To Schedule 13G/D Filing  The Securities and Exchange Commission (SEC) has introduced significant amendments to Schedules 13G…

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Understanding the Implications of the SEC’s Proposed EDGAR Next Amendments

By | 12/06/2023 | 6:51 am ET

The Securities and Exchange Commission (SEC) has proposed significant changes to the Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system, known as EDGAR Next. These amendments aim to enhance security and streamline the filing process for users. However, they also bring forth new challenges and potential costs for filers. What are the implications that filers need to know? Overview of the Proposed EDGAR Next Updates The proposed EDGAR Next updates…

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How Long After a Form S-1 Does It Take a Company to IPO?

By | 11/15/2023 | 6:57 am ET

When a company decides to go public, the Form S-1 is the initial registration form they file with the U.S. Securities and Exchange Commission (SEC). It contains detailed information about the company’s business operations, financial condition, and plans for the raised capital. The timeline from filing Form S-1 to an Initial Public Offering (IPO) can vary significantly based on several factors.The general process of an IPO includes: Preparation and Filing…

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What Is the Difference Between an SEC Form S-1 and S-3?

By | 11/15/2023 | 6:49 am ET

When companies decide to raise capital through the sale of securities, they must register the securities with the U.S. Securities and Exchange Commission (SEC). Two common forms used for this registration process are Form S-1 and Form S-3.  SEC Form S-1 and Form S-3 have some notable differences. They matter because they affect how quickly and efficiently a company can access public markets.  Form S-1 is often more detailed and…

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SEC Announces First Fee Rate Advisory for Fiscal Year 2024

By | 09/18/2023 | 2:57 am ET

The Securities and Exchange Commission (SEC) has recently released an important update regarding the fee rates for the fiscal year 2024, providing valuable information to market participants and investors. As a leading regulatory body in the securities industry, the SEC plays a crucial role in collecting fees from various market participants to fund its operations. The Fee Rate Advisory for fiscal year 2024 offers clarity on the fees that will…

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What Private Offering Types Are Available?

By | 08/28/2023 | 6:39 am ET

Private offerings provide businesses with an opportunity to gather funding without going public. This enables them to maintain more control over their operations while still accessing crucial resources. As these offerings come with specific regulations and forms, it's essential to know which one aligns best with a company's goals and resources. Reg D Offering Regulation D, or Reg D, offers several exemptions allowing companies to raise capital without registering securities…

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What SEC Filings Do I Need for a Reg CF Offering?

By | 08/28/2023 | 5:31 am ET

In today's financial landscape, new pathways have emerged, allowing businesses to secure funding outside traditional methods. One such avenue, steadily gaining traction, is the Reg CF Offering. This form of crowdfunding serves as a unique opportunity for startups and small businesses hungry for growth. As with all fundraising options, a certain level of regulatory navigation is required. Regulation Crowdfunding (Reg CF) is a relatively recent addition to the financial toolkit…

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What SEC EDGAR Filings Do I Need for a Reg D Offering?

By | 08/28/2023 | 5:08 am ET

In the world of securities and investments, compliance with regulatory bodies is paramount. Ensuring that the right filings are made to the Securities and Exchange Commission (SEC) can be the difference between a smooth fundraising process and a legal quagmire. When planning a Regulation D (Reg D) offering, one of the most commonly asked questions pertains to the necessary filings with the SEC's EDGAR system.  A Reg D offering, also…

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