On 17 September 2024, SEC charged 11 investment managers with major shareholding filing failures. SEC charges 11 investment managers with failing to report major shareholding. Two of the firms were also charged with failing to report large trader transactions. Involved Parties Orders filed against Ashton Thomas Private Wealth, LLC, Azzad Asset Management, Inc., Bulltick Wealth…
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U.S. – SEC Re-Opens Comment Period on Proposed Changes to 13D/G Filing
On 28 April 28, 2023, SEC reopened comment period to allow persons opportunity to comment on additional analysis, data contained in new staff memorandum published. Memo provided additional background, baseline data on Schedule 13D and 13G filings. Investigated effects on activism from proposed change to Schedule 13D filing deadline. Additional analysis of harms to certain…
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U.S. – SEC Publishes Form 13F Data Sets
On 2 August 2022, SEC announced Form 13F data sets available to be downloaded. Provides securities holding information required of institutional investment managers.
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U.S. – SEC Electronic Filing Requirements for 13F
On 23 June 2022, SEC adopted amendments to require certain documents filed by IAs, institutional investment managers, other entities be filed/submitted electronically. Commission published fact sheet; chair Gensler issued remarks, said in a digital age, it is important for filers to have easy online methods to submit information to the SEC. Amendments are effective in…
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U.S. SEC Comment Request for Form 13F
On 17 May 2022, SEC published 11 May 2022 request for OMB review of aforementioned information collection, request for comments on revision to Form 13F. Comments and recommendations should be sent within 30 days, by 16 June 2022. Background SEC issued a notice requesting comments on revisions to Form 13F, for institutional investment managers…
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U.S. – SEC Extends Comment Period for 13F
On 11 March 2022, SEC issued extension of info collection identical to 27 January 2022. Comments on collection due 30 days from publication of extension, by 10 May 2022. Background: SEC issued a notice requesting comments on revisions to Form 13F, for institutional investment managers to file a report with SEC if they exercise investment…
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