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What information must be included in the personal securities holdings report of an access person of an SEC registered investment adviser?

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At a minimum, the personal securities holdings reports must contain the following for each reportable security that the access person of the investment adviser has any direct or indirect beneficial ownership:

  • The title and type of security;
  • The exchange ticker symbol or CUSIP number;
  • The number of shares;
  • The principal amount;
  • The name of any broker, dealer or bank in which the access person maintains an account in which any securities are held for the access person’s direct or indirect benefit; and
  • The date the access person submits the report.

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