13F REPORTING REQUIREMENTS

Sep 19, 11
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  • . a loud and strong voice when they discuss the need for institutional investor ownership disclosure reform around 13D and 13F reporting requirements. .
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  • Sep 26, 2008 – A summary of Form 13F requirements from the SEC is below and can be found on the SEC's website here. Form 13F—Reports Filed by .
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  • Feb 16, 2011 – Form 13F is required to be filed within 45 days of the end .
  • Sep 19, 2008 – Short Selling Filing Requirements, Prohibitions and . ACA notes that the Form SH is similar in format to the Form 13F and includes the .
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  • Feb 12, 1999 – During the phase-in to mandatory electronic filing on EDGAR, investment managers were not required to file Form 13F reports electronically. .
  • General Rules and Regulations . An amendment to a Form 13F report, other than one reporting only holdings that were not previously reported in a public filing .
  • Sep 1, 2011 – An institution is subject to Form 13F filing requirements if it has investment discretion over more than $100 million in qualifying securities. .
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  • The Commission is not applying the detailed formatting requirements of Form 13F- E to the mandatory electronic submission of Form 13F reports, a requirement .
  • by MR Rosella - 2005
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  • A: Form 13F is the reporting form filed by institutional investment managers . Q: Are foreign institutional investment managers required to file Form 13F? A: Yes .
  • Jul 23, 2010 – Hidden in Reform Bill: Potential Short-Sale Reporting Requirements . list for long-only positions subject to quarterly reporting on Form 13F to .
  • Aug 5, 2011 – Person Signing this Report on Behalf of Reporting Manager: . INVESTMENT MANAGERS FOR THE PURPOSES OF THE REPORTING REQUIREMENTS UNDER . [ ] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager .
  • Mar 9, 2006 – Rule 13f-1(a) provides that every Manager that exercises . Purpose: The reporting system required by Section 13(f) of the Exchange Act is .
  • Mar 28, 2011 – Note: a Form 13F filing is made by "institutional investment . a review of the SEC's Section 13(f) reporting requirements in September of 2010. .
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  • Mar 1, 2011 – Advisers with over $100 million worth of equity securities under their investment discretion are subject to Form 13F filing requirements. .
  • This obviously makes reliable parsing of Form 13F problematic as there is no single exact format the report is required to be presented in. While the vast majority .
  • SEC 13F Securities Filing. . SEC, 13F Filing, Form 13F, 13F analysis, 13F definition, 13F Disclosure, 13F Holdings Report, 13F information, 13F requirements .
  • Form 13F is a quarterly report of equity holdings by filed institutional investment . as required by the United States Securities and Exchange Commission (SEC). .
  • General Rules and Regulations promulgated . Regulation 13D (Rules 13d-1 to .
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  • Sep 30, 2010 – The 13F form reporting requirements, which were created in 1975, “are outdated and do not currently require disclosure of all significant .
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  • May 4, 1999 – Form 13F is the SEC report form used by institutional money . meets the Section 13(f) filing requirements is required to file on Form 13F. .
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  • Oct 25, 2010 – A 13F Investment Manager would be required to comply with this reporting requirement only if the manager, whether directly or indirectly, .
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  • Public companies, certain insiders, and broker-dealers are required to make .
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  • Bulldogs 13f Theory May Not Be so Lucky - Fordham Journal of Corporate . funds from the reporting requirements embodied in Rule 13f-1(the "Goldstein .
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  • You must meet both of these requirements. If you prefer, you are allowed to include these small positions on your filing. See Special Instruction 10 to Form 13F .
  • Jun 17, 1998 – 1 Form 13F is used by institutional investment managers that . to make Form 13F information public, and the criteria used by the Division of . inform investment managers with Section 13(f) reporting obligations of the position .
  • Jump to How do I file a report through EDGAR?‎: The report must be prepared in accordance with the EDGAR filing requirements. A registered investment .
  • Apr 7, 2005 – While companies shun the cost of new regulations, Gruner said more frequent 13F filing could provide better information on money manager .
  • May 17, 2011 – The disclosures are part of a quarterly filing requirement for investors who manage more than $100 million. The form, known as a 13F, must be .
  • Sep 29, 2008 – Who Must Report. Managers are required to file Form SH if they filed or were required to file Form 13F for the second quarter of 2008. .
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  • Feb 10, 2010 – Deadline Approaching for Filing the Form 13F with the SEC. Is your investment advisor firm required to file quarterly the Form 13F with the SEC .

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