Sec 13f filings
[PDF File]Review of the SEC's Section 13(f) Reporting Requirements
https://info.5y1.org/sec-13f-filings_1_7df9ec.html
Review of the SEC’s Section 13(f) Reporting Requirements September 27, 2010 Report No. 480 i . Review of the SEC’s Section 13(f) Reporting Requirements . ... 13F filings for accuracy and completeness. As a result, many Forms 13F are filed with errors or problems, which may not be detected or corrected in a timely ...
[PDF File]Form 13F Reporting Requirements - Advisor Solutions Group
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Form 13F must be filed electronically using the SEC’s Electronic Data Gathering, Analysis and Retrieval (EDGAR) system. To file through EDGAR yourself, you will need a Form ID, the EDGAR Filer Manual, and EDGARLink software, all of which are available through the SEC’s website . Various service providers also provide Form 13F filing assistance.
[PDF File]List of Section 13F Securities
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filed with the Securities and Exhange Commission pursuant to Rule 13f-1 [17 CFR 240.13f-1] under Section 13(f) of the Securities Exchange Act of 1934. An updated list is published on a quarterly basis. This list is current as of June 15, 2018, and may be relied on by institutional investment managers filing Form 13F reports for the calendar quarter
Form 13F (Mis)Filings - SSRN
Form 13F (Mis)Filings Abstract We examine the reliability of Form 13F fili ngs and find significant reporting errors. Using a hand-collected sample of 13F fili ngs by bank holding companies, we show that (1) reported holdings do not always appear on the SEC’s Official List, (2)
[PDF File]Large Trader Reporting FAQs
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SEC identifying itself as a Large Trader. The SEC states that what constitutes “prompt” filing will differ in different contexts, but that it would be “appropriate” for such filings to be made within 10 days after the Large Trader effects aggregate transactions at or above the identifying activity levels noted above. 4
[PDF File]2019 SEC Filing Deadlines - Gibson, Dunn & Crutcher
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weekdays (excluding SEC holidays). If a filing is submitted after 5:30 p.m. Eastern Time, it will not be deemed filed with the SEC until the following business day (except for filings made pursuant to Rule 462(b) and Section 16 filings, which will receive the date o f the actual filing).
[PDF File]Regulatory Filings Refresher - ACA Compliance Group
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Regulatory Filings Refresher By Jessica Huelbig R egulatory filings may not be the sexiest topic among compliance professionals. Even so, it is important to note that the U.S. Securities and Exchange Commission (“SEC” or “Commission”) has been giving them more attention of late. In September, for example, the Commission charged more than
[PDF File]Stay Current Section 13 SEC Reporting by Advisers and ...
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(the “SEC”) in certain circumstances. These reports, which are required by Section 13 of the Exchange Act, may be filed on Schedule 13D, Schedule 13G and/or Schedule 13F, each of which are discussed in more detail below. A firm (and in some cases its “controlling persons”) will likely have a Section 13
[PDF File]Form 13F
https://info.5y1.org/sec-13f-filings_1_9724d4.html
i. the securities holding represents a risk arbitrage position open on the last day of the period for which the Form 13F report is iled; and ii. the reporting Manager has a reasonable belief as of the period end that it may not close the entire position on
[PDF File]CALENDAR 2020 SEC Filing Calendar
https://info.5y1.org/sec-13f-filings_1_5e627a.html
Eastern Time, weekdays, excluding U.S. federal holidays. Filings submitted after 5:30 p.m. Eastern Time, with the exception of Form 13H, Section 16 filings, Correspondence and filings pursuant to Rule 462(b), will receive the next business day’s filing date. 2020 SEC Filing Dates
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