#Sec filings folio institutional update
#Sec filings folio institutional registration

Question 2Ī: Institutional investment managers that use the United States mail (or other means or instrumentality of interstate commerce) in the course of their business and that exercise investment discretion over $100 million or more in Section 13(f) securities must file Form 13F. Congress believed that this institutional disclosure program would increase investor confidence in the integrity of the United States securities markets. See Section 13(f) of the Securities Exchange Act. What Is Form 13F and Who Files It? Question 1Ī: Form 13F is the reporting form filed by institutional investment managers pursuant to Section 13(f) of the Securities Exchange Act of 1934.Ĭongress passed Section 13(f) of the Securities Exchange Act in 1975 in order to increase the public availability of information regarding the securities holdings of institutional investors. Simplifies the rounding conventions of Form 13F to require that the dollar values reported be rounded to the nearest dollar (rather than to the nearest one thousand dollars).Adds the option to use a FIGI (Financial Instrument Global Identifier) for a reported security in addition to, but not instead of, its CUSIP number and.(period of confidential treatment requested) Updates Form 13F Confidential Treatment Instructions 2.d.

#Sec filings folio institutional registration

Requires a manager to report additional identifiers, if any, i.e., Central Registration Depository number, SEC file number.

to include a checkbox on the Summary Page of an institutional investment manager’s public Form 13F report to better indicate when confidential treatment is being requested

The use of the amended Form 13F starting on Januthat:.

The electronic filing on EDGAR of all Form 13F confidential treatment requests starting on February 28, 2023.

The amendments, as relevant here, require: The Commission on Jadopted rule and form amendments for Form 13F.

#Sec filings folio institutional update

Update – Implementation of June 2022 Amendments to Form 13F and Rules The Commission has neither approved nor disapproved this information. They are not a rule, regulation, or statement of the Securities and Exchange Commission. The Investment Management Division has written these FAQs to help money managers that are required to file Form 13F. For further background, please refer to Question 60 and IM Information Update 2013-02. A filer now must either (1) use the online form available on the EDGAR Filing Website and construct the Information Table according to the EDGAR XML Technical Specification, or (2) construct the entire Form 13F filing according to the EDGAR XML Technical Specification. On May 20, 2013, the text-based ASCII format for 13F filings was discontinued.