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FORM 5 (Required) Special Interest Group (SIG) Program Planning Worksheet This Form must be completed online by the SIG Chair and submitted electronically to the ABA Central Office no later than July
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Form 5 SIG Program is a form required by the SEC for certain investment managers who have discretionary authority over $150 million or more in securities and meet other criteria.
Investment managers who meet the SEC criteria for filing Form 5 SIG Program are required to file this form.
Form 5 SIG Program can be filled out electronically through the SEC's EDGAR system. It requires information on the investment manager's assets under management, clients, and risk management policies.
The purpose of Form 5 SIG Program is to help the SEC monitor and regulate investment managers with significant influence over a large amount of securities.
Form 5 SIG Program requires information on the investment manager's assets under management, clients, risk management policies, and other related information.
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