The SEC Form TCR (Tip, Complaint, or Referral) is the form whistleblowers and their attorneys use to submit tips to the SEC Whistleblower Office. Under the Dodd-Frank SEC Whistleblower Program, a ...
Alice Zhang is an Editor with Investopedia. She works on stories about business and impact investing. She is a Certified VITA Advanced Tax Preparer. Chip Stapleton is a Series 7 and Series 66 license ...
Earlier this week, the SEC announced settled enforcement actions against five companies for deficient disclosure in Forms 12b-25 that they filed regarding late reports. Why? On the heels of filing ...
Cryptopolitan on MSN
21Shares seeks SEC approval for new XRP ETF
US SEC records show 21Shares made amendment No. 3 to the S-1 registration statement, which governs the launch of new ETFs ...
Adam Hayes, Ph.D., CFA, is a financial writer with 15+ years Wall Street experience as a derivatives trader. Besides his extensive derivative trading expertise, Adam is an expert in economics and ...
Latch, Inc., which has rebranded as DOOR ("DOOR" or the "Company"), today announced that the Company filed its Annual Report ...
Guidance from the Securities and Exchange Commission late last month could limit RIAs’ ability to define themselves in their Forms CRS as fiduciaries, according to the Institute for the Fiduciary ...
On March 31, 2017, the Securities and Exchange Commission adopted final rules amending a variety of SEC forms and rules under the Securities Act of 1933 and the Exchange Act of 1934 to conform to (1) ...
The Securities and Exchange Commission has added a section to its 18-part frequently asked questions page to help registered municipal advisors complete Forms MA, MA-I and MA-NR. "In our efforts to ...
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