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Q1 Form 13F Filing

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 […]

Q2 Form 13F Filing

If your investment adviser firm is required to file the Form 13F, the second calendar quarter (April 1 – June 30) filing is due within 45 days of the end of the second calendar quarter. Background Information: If your investment adviser firm had discretion over $100 million or more of 13(f) securities on the last […]

Form N-PX Deadline

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 […]

Q3 Form 13F Filing

If your investment adviser firm is required to file the Form 13F, the third calendar quarter (July 1 - September 30) filing is due within 45 days of the end of the third calendar quarter. Background Information: If your investment adviser firm had discretion over $100 million or more of 13(f) securities on the last […]

Request Supervised Persons Complete Annual Attestations

As compliance best practice and/or possibly a requirement under an investment adviser firm's compliance manual, each supervised person of the firm should submit the following items to the firm's chief compliance officer ("CCO") or designee on an annual basis: Each supervised person should confirm in writing that such individual has re-reviewed and understands the firm's […]

State Registered Firms – Verify Whether Annual Financial Statement Must Be Submitted to Regulator

Along with paying annual renewals via IARD system and updating your Form ADV Annual Amendment, it’s important to remember that many state securities regulators also require a state registered investment adviser firm to submit an annual financial statement and/or other documents (e.g., proof of continued coverage of a surety bond, investment advisory client agreement if […]

Request/Verify Each Access Person’s Annual Holdings Report of Personal Securities

In general, an investment adviser firm's code of ethics requires each access person within the firm to submit annually to the firm's chief compliance officer ("CCO") or other designee a report of the access person's current personal securities holdings. Typically, the report must include the following information: The title and type of security, and as […]