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 of 13(f) securities on the last trading day of any month during the past calendar year. Rule 13f-1(a)(1) requires that if an investment adviser meets this threshold during the past calendar year, the investment adviser must make all four Form 13F filings, even if — after meeting the $100 million filing threshold – your investment adviser’s discretion over 13(f) securities subsequently falls below such threshold.
SEC’s Deadlines for Filing Form 13F in 2015 (01/04/2015)
The information contained in this sample calendar event is general in nature intended for educational purposes only and is not intended to be a comprehensive analysis of this topic. Securities regulations and corresponding deadlines are subject to change, and this calendar event may not reflect the most current requirements. This calendar event is not intended to constitute compliance consulting advice or apply to any particular investment adviser firm’s specific situation. Please consult the applicable securities regulator’s rules and published guidance for more details and the most current requirements about the topics referenced above.