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Investment Adviser Regulatory Filings Requirements
Investment Adviser Regulatory Filings Requirements
 

January 13, 2015

Division
Investment Adviser

Speaker: Jessica Huelbig, Senior Principal Consultant, ACA Compliance Group
Speaker: Jonathan Miller, Partner, Sidley Austin LLP
Speaker: Kevin Campion, Partner, Sidley Austin LLP


Webcast Discussion Includes:

  • Exchange Act filings, including Schedules 13G and Forms 3, 4, 5, 13F, and 13H
  • An overview of SEC enforcement actions relating to ownership filings
  • Form PF
  • Form D and "Blue Sky Filings"


    *Please note: This webcast will not address Form ADV. Please see the webcast scheduled for February 10, 2015 for issues relating to Form ADV.