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...
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Alternative Monthly Reporting (AMR) Deadline
The alternative monthly reporting (AMR) system exists for certain types of entities who qualify as an "eligible institutional investor" (as defined in NI 62-103). Generally, an eligible institutional investor is required to file an AMR report within 10 days of the end of the month when any of the follow occurs: it elects to begin…
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...
Alternative Monthly Reporting (AMR) Deadline
The alternative monthly reporting (AMR) system exists for certain types of entities who qualify as an "eligible institutional investor" (as defined in NI 62-103). Generally, an eligible institutional investor is required to file an AMR report within 10 days of the end of the month when any of the follow occurs: it elects to begin…
Form PF – Large Liquid and Money Market 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...
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...
AIFMD Annex IV Reporting Deadline
Obligatory Alternative Investment Fund Managers (AIFMs) must provide an AIFMD Annex IV Annual Report to the NCA of their home Member State, containing information...
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...
Alternative Monthly Reporting (AMR) Deadline
The alternative monthly reporting (AMR) system exists for certain types of entities who qualify as an "eligible institutional investor" (as defined in NI 62-103). Generally, an eligible institutional investor is required to file an AMR report within 10 days of the end of the month when any of the follow occurs: it elects to begin…