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Waiting for a flight in airport
Form 13F requires institutional investment managers to disclose the fair market value of its Section 13(f) Securities under management
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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., ...
Stressed business man covering face with hands in office. Working over time or too much. Problem with failing business or confusion with crisis. Entrepreneur in bankruptcy.
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
Angry businessman sitting at his desk.
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, ...
A businessman is trapped in his glass office by a surplus of discarded ideas on paper . His colleague in the next office is working more efficiently and is oblivious to him being trapped .
Because the Respondent met the definition of “large trader,” Respondent was obligated to file an initial Form 13H with the Commission promptly after qualifying
Mature Adult man working in the office
These changes will require more frequent reporting of monthly portfolio holdings and related information to the Commission and the public
A serious young man accountant, financier, analyst, auditor sits in the office at the table. He holds documents and a pen in his hands, checks accounts, finances, types on a laptop.
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
You have until Aug. 22 to share your comments on FinCEN's form for certain firms to report their beneficial owners
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