The SEC adopted yesterday rule amendments relating to the reporting of beneficial ownership under Sections 13(d) and 13(g) of the Securities Exchange Act of 1934 (“Exchange Act”).
Most chief compliance officers of registered investment advisors are intimately familiar with Form ADV. But what about Form 3 or Form 4 under Section 16? How about HSR? Your advisor may be subject to a number of shareholder and regulatory filings that, if not made timely and accurately, can have serious ramifications. This article provides an overview of some of the more common regulatory filings that advisors may be required to make with the SEC.