US Schedule 13G Monthly Reporting Deadline
Schedules 13D and 13G are commonly referred to as a “beneficial ownership reports.” The term "beneficial owner" is defined under SEC rules. It includes any person who directly...
12 events found.
Reporting Deadline
US Form N-CEN Reporting Deadline
Form N-CEN was established by the SEC on 13 October 2016, as part of a wider plan to modernise the reporting and disclosure requirements of certain Registered Investment Companies (RIC’s)...
US Form ADV Reporting Deadline
Form ADV is the uniform form used by investment advisers to register with both the SEC and state securities authorities. The form consists of two parts, both of which are available...
CPO-PQR – Small & Mid CPOs
Each CPO Member that operates pools for which it has reporting obligations under Part 4 of the CFTC's regulations must, using EasyFile, report to NFA or the CFTC, on a quarterly basis...
US Form 13H Quarterly Reporting Deadline
Form 13H is an SEC form required under Exchange Act Rule 13h-1 as part of the SEC's large trader reporting system.
US Schedule 13G Monthly Reporting Deadline
Schedules 13D and 13G are commonly referred to as a “beneficial ownership reports.” The term "beneficial owner" is defined under SEC rules. It includes any person who directly...
Form PF – Small Private Fund Advisers
Form PF is a form that that focuses mainly on private fund reporting with regard to information such as counterparty dealings, leverage, and investment exposure...
EU Money Market Funds Regulation Article 37 Reporting (MMFs with over EUR 100M)
Article 37 of the EU Money Market Fund Regulation requires managers to report certain information for each MMF that it manages to the relevant National Competent Authority (NCA)...
US Schedule 13G Monthly Reporting Deadline
Schedules 13D and 13G are commonly referred to as a “beneficial ownership reports.” The term "beneficial owner" is defined under SEC rules. It includes any person who directly...
US Form 13F Reporting Deadline
An institutional investment manager that uses the U.S. mail (or other means or instrumentality of interstate commerce) in the course of its business, and exercises investment...
US Form CPO-PQR
Each CPO Member that operates pools for which it has reporting obligations under Part 4 of the CFTC's regulations must, using EasyFile, report to NFA or the CFTC, on a quarterly basis...
US Schedule 13G Monthly Reporting Deadline
Schedules 13D and 13G are commonly referred to as a “beneficial ownership reports.” The term "beneficial owner" is defined under SEC rules. It includes any person who directly...