Our proprietary 13F software will import your information from nearly any file format and generate correctly formatted and validated XML data for submission. As always, our knowledgeable staff will help guide you through the filing process. We’ve helped many first-time filers navigate the SEC’s 13F regulations and fulfill their reporting requirements.
As an optional add-on feature, we can filter your list of securities (based on CUSIP numbers) to identify and highlight the following:
Upon receiving your initial list of holdings, we will run your file through the scrubbing process and provide an Excel file with color-coded results identifying the characteristics listed above.
After reviewing the results, you can remove or edit any of the highlighted securities, and return an updated holdings file to us.
We will repeat the scrubbing process until the desired results are achieved, at which point we will provide you a PDF proof of the complete 13F filing for submission approval.
In October 2023, the SEC published amendments to the Securities Exchange Act of 1934 (the “Act”) under Sections 13(d) and 13(g) to require market participants to provide more timely beneficial ownership positions using new technical reporting requirements to better meet the needs of investors.
The SEC announced the adoption of amendments to reporting requirements for Forms N-PORT and N-CEN in its final rule relating to certain registered investment companies.
On March 31, 2025, Chairman French Hill and all of the Republican members of the House Financial Services Committee sent interagency letters requesting the rescission, modification, or re-proposal of specific Biden-Harris administration actions to the Consumer Financial Protection Bureau, the Federal Deposit Insurance Corporation, the Federal Reserve, the Office of the Comptroller of the Currency, and the Securities and Exchange Commission (SEC).
