Q1 Form 13F Filing
April 14
If your investment adviser firm is required to file the Form 13F, the first calendar quarter (January 1 – March 31) filing is due within 45 days of the end of the first calendar quarter.
Background Information:
If your investment adviser firm had discretion over $100 million or more of 13(f) securities on the last trading day of any month during the past calendar year, then the Form 13F must be filed within 45 days of the end of the calendar year when the threshold was reached, and three subsequent reports are required to be filed within 45 days of the end of the first three calendar quarters of the year.
General Disclosure:
The information contained in this calendar event is general in nature intended for educational purposes only and is not intended to be a comprehensive analysis of this topic. It is not intended to constitute compliance consulting advice or apply to any particular investment adviser firm’s specific situation. Please consult the applicable securities regulator’s rules and published guidance for more details about the topics referenced above.
