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The SECs Form 13F must be filed quarterly by institutional investment managers with at least $100 million in assets under management. Congress intended these filings to provide transparency on the holdings of the nations biggest investors.
A: Rule 13f-1(a)(1) requires that you submit four Form 13F filings when you meet the $100 million filing threshold on the last trading day of any month during any calendar year. See Rule 13f-1(a)(1) under the Securities Exchange Act.
Key Takeaways. The SECs Form 13F must be filed quarterly by institutional investment managers with at least $100 million in assets under management. Congress intended these filings to provide transparency on the holdings of the nations biggest investors.
Form 13F is a quarterly report filed, per United States Securities and Exchange Commission regulations, by institutional investment managers with control over $100M in assets to the SEC, listing all equity assets under management. Academic researchers make these reports freely available as structured datasets.
Reports on Form 13F are intended to increase the public availability of information on the securities holdings of institutional investors. Under Exchange Act Rule 13f-1, in general an institutional investment manager is either: An entity that invests in, or buys and sells, securities for its own account.
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Form 13F was adopted pursuant to statutory directive designed to increase the public availability of information regarding the securities holdings of larger institutional investors. The Form 13F data sets are extracted from the eXtensible Markup Language (XML) based portion of Form 13F submissions in EDGAR.
The Form 13F report requires disclosure of the name of the institutional investment manager that files the report, and, with respect to each section 13(f) security over which it exercises investment discretion, the name and class, the CUSIP number, the number of shares as of the end of the calendar quarter for which

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