What You Need to Know About SEC Form 1-A

SEC Form 1-A is a filing with the SEC for entities seeking exemption from registration requirements for certain public ...
JD Supra

SEC Further Extends Form PF Compliance Date and Signals Broader Reconsideration

On June 11, 2025, the Securities and Exchange Commission (“SEC”) voted to extend the compliance date for the most recently adopted amendments to Form PF by approximately four months, to October 1, ...
JD Supra

SEC Adopts Significant Form and Rule Amendments for the Registration of RILAs and MVAs

On July 1, 2024, the SEC adopted tailored disclosure requirements and offering processes for non-variable annuity contracts—specifically, for registered index-linked annuities (RILAs) and annuity ...
Investopedia

Understanding SEC Form 19b-4: Guide to Rule Changes

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 ...