When you visit a doctor or lawyer, you expect them to be licensed in your state. The same principle applies to investment advisors through notice filings. These mandatory documents serve as a professional license that allows SEC-registered advisors to do business across state lines. The filing pr...
For many years, the SEC and FINRA have permitted a broker-dealer whose business activities do not require that it maintain minimum net capital of at least $100,000 pursuant to Rule 15c3-1(a)(2)(ii) under the Exchange Act, the SEC’s net capital rule, and wh...
You will not be eligible for the loan if: (1) your physical address is not included on your federal tax return, (2) your physical address is located outside of the United States or a US territory, is a PO box or is a prison address, (3) your physical address is ...
Then, when it's time to do your taxes, all of the information you saved can be automatically imported into TurboTax Deluxe, Premier or Home and Business and be applied to your tax return. If you use TurboTax Deluxe or above, ItsDeductible is built right in. So, even if yo...
SEC Form S-1 is also known as the registration statement under theSecurities Act of 1933.2Additionally, the SEC requires the disclosure of any material business dealings between the company and its directors and outside counsel. Investors can view S-1 filings online to performdue diligenceon new...
Going forward, it’s best to maintain separate bank accounts for personal and business spending, as well as to keep your books diligently. If you find yourself needing to fix things retroactively and don’t have the time to untangle the problem yourself, indineroaccounting and tax servicescan ...
in these RMIBs enable them to: address the problem of lack of consistent and comparable disclosure standards; undertake a comprehensive analysis of the costs and benefits of the rules; quickly and flexibly make and amend the rules in light of changing scientific developments and market conditions;...
I’ll begin by using the Proxy Manager that enables me to amend the request before it reaches the Super Proxy.The Proxy Manager acts as the middleman between the crawler and the Super Proxies helping to control and shape the traffic to the Super Proxies and to the proxy exit node (i.e....
How Many Enrons Are There? More Than People May Think. ; One-Quarter of Public Firms Have to Amend Reports after SEC Review - a Sign of Widespread Manipulation
(Chicago Booth School of Business) and Steven Vanhaverbeke (Erasmus University) – found that the more businesses spent to comply with financial reporting mandates, the less they spent on innovation. The researchers noted that compliance burdens also disproportionately impact small business, “thereby ...