Investment Advisors

• Form ADV Annual Updating Amendment
• IARD Fees
• State Filings

Hedge/Private Fund Advisors

• Reaffirm CPO and CTA Exemptions
• Initial Form PF
• Form PF for Large Hedge Fund Advisers
• Blue Sky Filings (Form D)
• Exempt Reporting Advisers Form ADV Filing
• Annual Reports for 4.7 Exempt CPOs

Broker-Dealers

• Annual Reports for the Fiscal Year-End December 31st
• Supplemental Inventory Schedule (“SIS”)
• SIPC-6 Assessment
• SIPC-7 Assessment
• SIPC-3 Certification of Exclusion from Membership
• Rule 17a-5 Monthly and Fifth FOCUS Part II/IIA Filings
• Supplemental Inventory Schedule (“SIS”)
• SIPC-6 Assessment
• SIPC-3 Certification of Exclusion from Membership
• SIPC-7 Assessment

Registered Commodity Pool Operators

• Form CPO-PQR (All Schedules)
• CFTC Form CPO-PQR 
• CFTC Form CPO-PQR 
• CPO Members must distribute an Annual Report

Mutual Funds

• Form N-PORT
• Form N-MFP
• Form N-CEN

Read more here.