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Form 13F Filing Deadline for 4Q 2022

February 14, 2023

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.

Related Resources:

WSP/CoE Section Update – Section 13 Filings

13F – Checklist for Filing via Securex

Frequently Asked Questions Form 13F, Form SH, Schedule 13D & Schedule 13G

SEC Proposed Changes to Form 13F for Institutional Investment Managers (08/03/20)

Recorded Webinar : Conducting an Annual Compliance Review – Session 9 – Fees & Custody, Form 13F Filings, Private Funds

Recorded Webinar: Filing Form 13F

SEC’s Deadlines for Filing Form 13F in 2015 (01/04/2015)

Deadline Approaching for Filing the Form 13F with the SEC (2/10/2010)

Fourth Quarter 2008 Form 13F Reports – RIA Compliance Consultants 13F Webinar on January 8, 2009 (01/09/2009)

SEC’s Form 13F Filing Deadline Approaching for Investment Advisers Acting as Institutional Money Managers (01/25/2008)

General Disclosure:

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.

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February 14, 2023
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