The U.S. Securities and Exchange Commission (“SEC”) recently settled charges against 11 institutional investment managers for failing to file Form 13F, a critical filing requirement for those who exercise investment discretion over $100 million or more in certain equity securities. The SEC emphasized the importance of compliance with Form 13F, which ensures transparency in securities holdings and fosters market integrity.
Category Archives: Form 13F
Regulatory Alert: New Form N-PX Reporting Requirements for Investment Advisers Which Are 13F Filers
August 12, 2024
If your investment adviser firm is required to file Form 13F, please be aware that your firm is now required (subject to certain exceptions) by the United States Securities and Exchange Commission (“SEC”) to file an annual report on Form N-PX by August 31, 2024. This report will cover the most recent 12-month period ending June 30 and must include the firm’s proxy voting record related to executive compensation matters.
SEC Fines Investment Adviser for Failure to File Form 13F
September 18, 2023
Introduction
The United States Securities and Exchange Commission (“SEC”) has initiated an administrative enforcement proceeding against an investment adviser firm registered with the SEC for allegedly failing to file the quarterly Form13F from February 2017 until April 2022.
There are several legislative proposals currently under consideration by the U.S. House of Representative’s Committee on Financial Services in response to the Archegos Capital meltdown which may be of interest to many investment advisers:
Deadline Approaching for Filing the Form 13F with the SEC
January 12, 2015
Is your investment adviser firm required to file quarterly the Form 13F with the SEC?
SEC’s Deadlines for Filing Form 13F in 2015
January 04, 2015
To the extent that your investment adviser firm had investment discretion over $100 million or more of 13(f) securities as of the last trading day of any month during the past calendar year, here are the U.S. Securities and Exchange Commission’s quarterly deadlines for filing the Form 13F:
Deadline Approaching for Filing the Form 13F with the SEC
February 10, 2010
Is your investment advisor firm required to file quarterly the Form 13F with the SEC?
Fourth Quarter 2008 Form 13F Reports – RIA Compliance Consultants 13F Webinar on January 8, 2009
January 02, 2009
According to Section 13(f) of the Securities Exchange Act of 1934, an institutional money manager that exercises investment discretion over $100 million of Section 13(f) securities must submit quarterly 13F reports to the SEC. Registered investment advisors meet the definition of institutional money manager and are therefore subject to this rule when they exercise investment discretion over $100 million of Section 13(f) securities. A registered investment advisor that does not currently submit Form 13F reports with the SEC needs to make sure it did not exceed the 13(f) discretion threshold of $100 million at any time during calendar year 2008. To the extent your firm did exceed $100 million of Section 13(f) securities any time during 2008, your firm will need to file its first Form 13F by February 14, 2009. The Form 13F must report ending values as of December 31, 2008. Your firm will then need to submit filings for quarters ending March, June, and September 2009, even if the market value of your Section 13(f) securities falls below the $100 million level. Current Form 13F filers that exceeded $100 million of discretionary 13(f) securities on the last trading day of at least one month during the year 2008 must also submit their fourth quarter 2008 reports by February 14, 2009.
SEC Extends Order Requiring the use of Form SH – Reports for Period September 29 through October 5, 2008 Due Today
October 06, 2008
The United States Securities and Exchange Commission (“SEC”) has extended its temporary order requiring institutional investment managers to report short sales of Section 13(f) securities. The order has been extended so that it will now terminate at 11:59 p.m. ET on October 17, 2008.
SEC Issues Guidance Regarding the Reporting of Short Selling by Certain Institutional Investment Managers
September 26, 2008
Yesterday, the U.S. Securities and Exchange Commission (“SEC”) posted a set of questions and answers concerning the SEC’s temporary order requiring certain institutional investment managers to report short sales. Effective this week, institutional investment managers must report daily short sales of section 13(f) securities. According to the SEC, questions and answers presented on their website, were prepared by and represent the views of the Staff of the Divisions of Corporation Finance, Investment Management, and Trading and Markets to assist in the understanding and application of the order. The questions and answers are not rules, regulations, or statements of the SEC. You can read the SEC’s set of questions and answers by clicking the following link – http://www.sec.gov/divisions/marketreg/shortsaledisclosurefaq.htm.
