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Last Day to Make Filing in IARD/CRD

The last day to submit registration filings (via IARD/CRD systems) prior to year-end is Thursday, December 22, 2022. After 11:00 p.m. ET, IARD/CRD systems are unavailable.

2023 Final Renewal Statement Available

An investment adviser firm's Final Renewal Statement is available through the IARD  on Monday, January 2, 2023. The FInal Renewal Statement reconciles what was charged on the Preliminary Renewal Statement with what is actually owed as the start of the new calendar year. The Final Renewal Statement confirms whether an investment adviser firm must pay […]

Determining Whether Required to File Form 13F

An institutional investment manager, which includes an investment adviser firm, ("Manager") must use Form 13F for reports to the SEC required by Section 13(f) of the Securities Exchange Act of 1934 (“Exchange Act”). Rule 13F-1 provides that every Manager which exercises investment discretion with respect to accounts holding Section 13(f) securities having an aggregate fair […]

Form 13F Filing Deadline for 4Q 2022

To the extent an investment adviser firm is required to file the Form 13F, the quarterly report for 4th calendar quarter of 2022 is due Tuesday, February 14, 2023. Rule 13f-1(a)(1) under  the Securities Exchange Act requires an investment adviser to submit four Form 13F filings if it had discretion of $100 million or more […]

Form 13H Annual Filing Deadline

Under Section 13(h) of the Securities Exchange Act, Form 13H must be filed by any organization that is considered a large trader. An investment adviser firm qualifies as a “large trader” when the firm has discretionary authority over one or more accounts that purchase or sell any exchange-listed security in an aggregate amount equal to […]

Form 13H Annual Filing Deadline

Under Section 13(h) of the Securities Exchange Act, Form 13H must be filed by any organization that is considered a large trader. An investment adviser firm qualifies as a “large trader” when the firm has discretionary authority over one or more accounts that purchase or sell any exchange-listed security in an aggregate amount equal to […]

Form 13H Annual Filing Deadline

Under Section 13(h) of the Securities Exchange Act, Form 13H must be filed by any organization that is considered a large trader. An investment adviser firm qualifies as a “large trader” when the firm has discretionary authority over one or more accounts that purchase or sell any exchange-listed security in an aggregate amount equal to […]

Form 13H Annual Filing Deadline

Under Section 13(h) of the Securities Exchange Act, Form 13H must be filed by any organization that is considered a large trader. An investment adviser firm qualifies as a “large trader” when the firm has discretionary authority over one or more accounts that purchase or sell any exchange-listed security in an aggregate amount equal to […]

Form 13H Annual Filing Deadline

Under Section 13(h) of the Securities Exchange Act, Form 13H must be filed by any organization that is considered a large trader. An investment adviser firm qualifies as a “large trader” when the firm has discretionary authority over one or more accounts that purchase or sell any exchange-listed security in an aggregate amount equal to […]