Category Archives: Form 13F

SEC Fines Investment Adviser for Failure to File Form 13F

September 18, 2023


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.

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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:

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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.

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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 –

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SEC Amends Order Requiring Certain Institutional Investment Managers to Report New Short Sales of Section 13(f) Securities

September 22, 2008

The United States Securities and Exchange Commission (“SEC”) approved amendments to its temporary rule requiring the reporting of short sales of Section 13(f) securities by institutional investment managers. According to a press release issued yesterday, in addition to making technical amendments, the revised order provides that information submitted on Form SH will not be made publicly available immediately. Two weeks after the September 29, 2008 due date of the first Forms SH, the SEC will make the Forms available to the public. This amendment was made in an effort to help prevent artificial volatility in securities markets. It was perceived that by making the information available immediately investors could possibly mirror the short selling of other investors and thus further deteriorate certain stocks.

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