Learn what SEC Form F-1 is, its necessary criteria for foreign companies on U.S. exchanges, and explore detailed real-world filing examples for practical insight.

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 ...

Will Kenton is an expert on the economy and investing laws and regulations. He previously held senior editorial roles at Investopedia and Kapitall Wire and holds a MA in Economics from The New School ...

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...

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 ...

SEC Form 13F provides insights into equities held by managers with over $100M assets. Retail investors use 13F filings to track strategies of major investment firms. 13F disclosures can significantly ...

Benjamin Schiffrin, Director of Securities Policy at Better Markets, a non-profit, non-partisan, and independent organization founded in the wake of the 2008 financial crisis to promote the public ...