If your investment adviser firm is required to file Form 13F, please be aware that your firm is also required (subject to certain exceptions) by the U.S. Securities and Exchange Commisson (“SEC”) to file an annual report on Form N-PX each year. The deadline to file Form N-PX is August 31.
Category Archives: Form 13F
If your investment adviser firm submits filings such as 13F, N‑PX, or 13H, you must enroll in EDGAR Next by September 12, 2025 to avoid disruption. The U.S. Securities and Exchange Commission (“SEC”) will replace legacy CIK/CCC and passphrase authentication with Login.gov individual accounts and multifactor authentication.
Deadline Approaching for Filing the Form 13F with the SEC
January 19, 2025
As we move into 2025, it is crucial for investment adviser firms to stay on top of their regulatory obligations, particularly the requirement to file Form 13F. This filing is mandated by the U.S. Securities and Exchange Commission (SEC) for investment adviser firms which exercise investment discretion over $100 million or more in Section 13(f) securities as of the last trading day of any month during the past calendar year.
SEC’s Recent Enforcement Actions Against Investment Advisers For Failing to File Form 13F
September 29, 2024
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.
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?
