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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, ...
Because the Respondent met the definition of “large trader,” Respondent was obligated to file an initial Form 13H with the Commission promptly after qualifying
These changes will require more frequent reporting of monthly portfolio holdings and related information to the Commission and the public
Russia’s invasion of Ukraine has rattled the world, and it also can explain new changes adopted by the SEC for mutual fund advisers
This is the SEC's final rule change to N-PORT reporting rules