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.
The SEC adopted amendments to Reg S-P requiring broker-dealers, investment companies, registered investment advisors, and transfer agents to implement and maintain policies and procedures regarding an incident response program designed to detect, respond, and recover from unwarranted access or use of client information.
On December 3, 2025, the SEC issued an order providing an exemption from compliance with the short position and short activity reporting rules. According to the order, compliance with Rule 13f-2 and Form SHO is now delayed until January 2, 2028.
