institutional investment managers

  • Form 13F Reporting: The $100 Million Test, 45-Day Clock and EDGAR XML

    On 17 September 2024 the SEC announced settled charges against 11 institutional investment managers for failing to file Form 13F, the quarterly holdings report required by rule 13f-1 under the Securities Exchange Act of 1934. Nine of them agreed to pay civil penalties totalling more than $3.4 million; the two that self-reported and cooperated were…