New SEC Rules Expand Electronic Filings, Amend Form 13F
New rules amend Form 13F and require advisers to file Advisers Act applications electronically.
June 27, 2022
Tags: Confidential Treatment Request, Electronic Filing, Form 13F
New SEC Proposal Calls for Short-Sale Reporting
The SEC has proposed requiring institutional investment managers with discretion over client accounts to report confidentially to the SEC, on a monthly basis, certain short positions. Aggregate data will be made available publicly.
March 07, 2022
Tags: Form 13F, Short Selling
IAA Recommends Changes to SEC’s Form 13F Proposal To Balance Transparency with Regulatory Burdens
The IAA has weighed in on the SEC’s Form 13F proposal. Thank you to all members who provided input on the proposed amendments.
October 02, 2020
Tags: Exchange Act Reporting, Form 13F
SEC Proposes to Substantially Reduce Form 13F Reporting by Increasing Threshold
The SEC is proposing to raise the Form 13F reporting threshold for institutional investment managers for the first time in more than 40 years – from $100 million to $3.5 billion.
July 13, 2020
Tags: Allison Herren Lee, Form 13F, SEC