Form 13F is now an XML Filing - We can help you meet the new requirements
The SEC has modernized the requirements of Form 13F reporting. Form 13F filings in ASCII format are no longer accepted. The new format, XML, allows computers to efficiently scrutinize all aspects of Form 13F, including the holdings summary.
Simply complete our Form 13F Excel template, define your filtering options, and Newsfile will prepare and file the Form 13F on your behalf. Our cost effective solution makes Newsfile an easy choice.
Complete Spreadsheet
Complete our Form 13F spreadsheet template to include cover page information, other managers reporting, other included managers, information table data, and filtering options.
   
Send to Newsfile
Submit the completed Form 13F spreadsheet via email or the Compliance Management Portal to our team along with your filing instructions. Using proprietary software, Newsfile will generate the XML data for filing and an accompanying proof for your review.
   
Review Proof
Review the Form 13F XML code and an HTML preview securely online. The HTML preview is based on the official SEC 13F template and reflects how it will appear once filed on the SEC web site. If filtering options are selected, review a report illustrating the adjustments our software made to information table data.
   
Approve
Provide your approval to file. Newsfile will submit the Form 13F XML data to the SEC EDGAR system and provide you with an email acceptance message.
   

Contact us to learn how our Form 13F software solution can work for you.


About Form 13F

Institutional investment managers who exercise investment discretion over $100 million or more in Section 13(f) securities must report their holdings on Form 13F with the SEC EDGAR system. Form 13F requires disclosure of the names of institutional investment managers, the names of the securities they manage and the class of securities, the CUSIP number, the number of shares owned, and the total market value of each security.

The securities that institutional investment managers must report on Form 13F are found on what is known as the Official List of Section 13(f) Securities. The Official List is published quarterly and is available for free on the SEC's website.

Form 13F-HR vs. Form 13F-NT

If all of your Section 13(f) securities are listed on your Form 13F, you are filing a 13F Holdings Report under Form type 13F-HR.

If some of your Section 13(f) securities are listed on your Form 13F and the rest of your Section 13(f) securities are listed on someone else's Form 13F, you are filing a 13F Combination Report under Form type 13F-HR.

If none of your Section 13(f) securities is listed on your Form 13F because all of your Section 13(f) securities are reported on someone else's Form 13F, you are filing a 13F Notice under Form type 13F-NT.

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Form 13F Modernization Updates

Form 13F - Filing of New Online Form with XML Information Table To Begin May 20

2013-05-20

The Division of Investment Management has issued an update stating that the XML specification for Form 13F has been implemented as of May 20, 2013. Form 13F filings in ASCII format will no longer be accepted. Read the SEC announcement


SEC Delays 13F Changes

2013-04-23

The Division of Investment Management has issued an update stating that the XML specification for Form 13F will required no sooner than May 20, 2013. Read the SEC announcement


Investment Managers Form 13F Adopts XML

2013-03-29

The SEC is changing the format of Form 13F and requiring filers to comply with new XML specifications for filings made after 5:30 p.m. on Friday April 26, 2013. Read the SEC announcement

Form 13F Filtering
Notice Our software solution provides options to filter information table data to only include those holdings required on Form 13F. Why disclose more than you are required? Contact us to learn more.
Official Form 13F List
We can provide our clients the official 13F list in Excel format to help with the internal preparation of Form 13F. Contact us to learn more.



 
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