U.S. – SEC Electronic Filing Requirements for 13F

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 60 days from pending publication in the federal register.
  • However, amendments to Form 13F become effective beginning on 3 January 2023.