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Section 13d reporting requirements need updating

Such "control persons" may satisfy their reporting obligations by making a joint Schedule 13G filing with the firm, provided that: As noted above, QIIs include, in addition to investment advisers, broker-dealers, banks, savings associations, insurance companies, registered investment companies, employee benefit plans, and control persons of the foregoing entities. In order for a control person to qualify as a QII, the maximum amount of an issuer's class of Section 13 Security that may be attributable to such a control person and its subsidiaries and affiliates (in the aggregate) from sources other than a QII cannot exceed 1% of an issuer's class of Section 13 Securities outstanding.

In addition to joint Schedule 13G filings that may be made by a firm and its "control persons," if a firm's client by itself beneficially owns more than 5% of an issuer's class of Section 13 Security, the client has its own separate filing obligation.

We generally recommend that any Section 13 report, including Schedule 13G filings made by "control persons," also include an appropriate disclaimer of beneficial interest.

If any such information is incorporated by reference, you must attach as exhibits to the Schedule 13G copies of the relevant pages of the Form 13F.

Rule 13f-1 under the Exchange Act provides that every institutional investment manager and (2) have an aggregate fair market value of at least 0 million on the last trading day of any month of any calendar year, must file a report on Form 13F with the SEC.

The Form 13F report must be filed within 45 days after the last day of such calendar year and also within 45 days after the last day of each of the first three calendar quarters of the following calendar year.

There is currently no filing fee for Schedule 13G or Schedule 13D.

In addition to filing such reports with the SEC, firms are generally required to send a copy of such filing to the issuer of the Section 13 Security at its principal executive office and to each exchange on which the Section 13 securities are traded.


  1. Under the Securities Exchange Act of 1934. the Section 13 reporting requirements applicable. 13D reporting obligations apply to.

  2. US IPO Guide 2016 EDITION _____ This is our initial public offering guide. It will help you decide whether an IPO is the right move for your company and, if so, help you make

  3. Previous; Next; Chapter 8 Reporting by shareholders - obligations of major shareholders to file Schedule 13D or 13G reports Author Published

  4. In the United States, a report on Schedule 13D commonly referred to as a “beneficial ownership report” is required to be filed with the SEC within 10 days of the acquisition of direct or indirect beneficial ownership of more than 5% of

  5. PURSUANT TO SECTION 13f OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULES THEREUNDER ACN 13F XML SOFTWARE - HELP & USER GUIDE - Version 6.4 Copyright © 1997-2017 Advisor Consultant Network, Inc. We are in the process of updating this file and have added many of the changes that relate to version 6.4.

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