13F – Checklist for Filing via Securex

$50.00

This 13F – Checklist for Filing via Securex is a sample investment adviser form which is an example of a checklist for an investment adviser filing the Form 13F utilizing Securexfilings.com, a the a third-party Edgar filing service..

Included with Bronze; Silver; Gold; and Platinum Packages.

Description

This 13F – Checklist for Filing via Securex is a sample investment adviser form which is an example of a checklist for an investment adviser filing the Form 13F utilizing Securexfilings.com, a third-party Edgar filing service..

This sample checklist is a good starting point for an investment adviser desiring to create desk procedures for filing the Form 13F.

Related Resources:

WSP/CoE Section Update – Section 13 Filings

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)

Included with Bronze, Silver, Gold, and Platinum Packages. Initially posted in April 2021.

Disclosures

This sample document is merely an example for general reference and educational purposes.  RIA Compliance Consultants, Inc. is providing this sample document to the purchaser on an “as is” basis with no warranty or guaranty whatsoever.  

This sample document should be considered a starting point, and purchaser should not treat this sample document as a final document ready for use.  The sample document has not been customized to the purchaser’s business model, the specific investment advisory rules applicable to the purchaser’s investment adviser or the written supervisory procedures and code of ethics of purchaser’s investment adviser.

This sample document may not be applicable or appropriate for every investment adviser. The purchaser should not consider a sample document purchased from our online store as an exhaustive, comprehensive or definitive list of the items necessary to meet the purchaser’s obligations under the applicable investment adviser laws and rules.

This sample document is not intended to detect or prevent fraud, selling away, Ponzi schemes, undisclosed outside business activities, inaccurate or false fee calculations, theft, misappropriation or unlawful conversion of client funds.

Due to changes of investment adviser laws and rules, this sample documented may become outdated and need to be updated or discontinued.  RIA Compliance Consultants, Inc. will not be providing any subsequent updates of this sample documents to the purchaser.  Likewise, RIA Compliance Consultants, Inc. will not be monitoring and reporting to the purchaser any issues related to the use of this sample document. 

Since this sample document may not reflect the specific investment advisory requirements of the purchaser’s securities regulator, the purchaser should check with the securities regulator(s) with jurisdiction over its investment adviser or review any applicable rules before using this document.

This sample document is not a substitute for retaining a compliance professional to advise and assist the purchaser regarding its investment adviser’s compliance program. Unless otherwise agreed to in writing, the purchaser understands that the purchaser has not engaged RIA Compliance Consultants, Inc. in a consulting relationship by merely purchasing or utilizing a sample form. Additionally, the purchaser understand that unless otherwise agreed to in writing, RIA Compliance Consultants, Inc. is not responsible for customizing this sample document, updating the sample document, preparing the purchaser’s written supervisory procedures or code of ethics, or notifying the purchaser of changes to the investment adviser laws and rules.

Purchaser is not authorized to re-sell this sample document nor license the use of this sample document to a third-party. 

Delivery

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If this product involves the purchase of a sample document on a la cart basis (not part of an annual compliance program subscription), the purchaser will have three ways to access this sample document: 1) Following payment, the purchaser will be redirected to a thank you page with a button to download the sample document; 2) The purchaser will receive an invoice email with a link to download the sample document; 3) If the purchaser has an account or elects to create one at the time of checkout, this sample document can be accessed from the “Downloads” section of purchaser’s My Account page. The purchaser will have 90 days to download sample document, which is limited to 3 downloads during this period.

If you experience any issues when making the purchase, please email delivery@ria-compliance-consultants.com

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