Forms

Given that you must use EDGAR to file your electronic 13F, seek to 'identify the technicalities that can cause a filing to fail, such as ...

Sometimes data can be overwhelming, and understanding what it takes to meet the SEC’s 13F filing requirements can only add to the frustration. But with ...

It can amount to easy pickings for the SEC when an adviser has an obligation to file information with the Commission but neglects to fulfill ...

This was one of several new enforcement settlements announced regarding the responsibility to report beneficial owners. The SEC reminds that 'The duty to file is ...

The new rule and related form are designed to provide greater transparency through the publication of short sale-related data to investors and other market participants. ...

Form 13F requires institutional investment managers to disclose the fair market value of its Section 13(f) Securities under management

The adviser has had investment discretion over at least $100 million of reportable securities and was obligated to file quarterly Forms 13F beginning by 2020., ...

In August 2024, the firm filed 19 Forms 13F, which covered the period from the quarter ending March 31, 2019, to the quarter ending September ...

In April 2024, the firm self-reported to the Commission its failures to file Forms 13F and 13H

In August 2024, Respondent filed 18 Forms 13F, which covered the period from the quarter ending December 31, 2019, to the quarter ending March 31, ...