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:

4Q 2014 (December)      February 17, 2015 (Tuesday)

1Q 2015 (March)            May 15, 2015 (Friday)

2Q 2015 (June)               August 14, 2015 (Friday)

3Q 2015 (September)    November 16, 2015 (Monday)

In order to determine whether 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, here’s a link to the current list of 13(f) securities at the website of the U.S. Securities and Exchange Commission.

To the extent that your investment adviser firm needs assistance with the Form 13F, please contact us at 877-345-4034.

Posted by Bryan Hill
Labels: Form 13F