13H Reporting

13H End of Reporting Period

Form H must be filed by a natural person who is authorized to submit it on behalf of the large trader. The Commission may require the large trader to provide descriptive or clarifying information about the information disclosed in the Form 13H, and will contact the Authorized Person to provide such information. Form H must…

Form N-PORT

Form N-PORT Reporting Deadline

Form N-PORT is to be used by a registered management investment company, or an exchange-traded fund organized as a unit investment trust, or series thereof (“Fund”), other than a Fund that is regulated as a money market fund. Funds must report information about their portfolios and each of their portfolio holdings as of the last…

Form PF

Form PF End of Reporting Period

Form PF must be filled by, registered, or required to register with the SEC as an investment adviser of private funds. Large Hedge Funds must report on a Quarterly basis, within 60 days of each Quarter closing. Large Liquid Funds must report on a Quarterly basis, within 15 days of each Quarter closing. All other…

Form CPO-PQR End of Quarterly Reporting Period

Form CPO-PQR Reporting Deadline

A 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. The report must contain specific information about the firm and the pools that it operates. The reporting deadline is 90 calendar days for…

Form ADV

Form ADV Reporting Deadline

Form ADV is an uniform form used by investment advisers to register with both the Securities and Exchange Commission (SEC) and state securities authorities. Form ADV consists of two parts: Part 1 contains information about the adviser’s business and whether they have had problems with regulators or clients. Part 2 outlines the adviser’s services, fees,…

Form N-CEN Reporting

Form N-CEN Reporting Deadline

Form N-CEN is an annual report which should be filed pursuant to rule 30a­1 under the Act (17 CFR 270.30a-1) by registered investment companies. Form N-CEN reports should be filed no later than 75 days after the close of the fiscal year. Reports must be filed electronically using the Commission’s Electronic Data Gathering, Analysis, and…

Form N-PORT

Form N-PORT Reporting Deadline

Form N-PORT is to be used by a registered management investment company, or an exchange-traded fund organized as a unit investment trust, or series thereof (“Fund”), other than a Fund that is regulated as a money market fund. Funds must report information about their portfolios and each of their portfolio holdings as of the last…

Form CPO-PQR End of Quarterly Reporting Period

Form CPO-PQR Reporting Deadline

A 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. The report must contain specific information about the firm and the pools that it operates. The reporting deadline is 90 calendar days for…