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Form 13F - Sec
Institutional investment managers (“Managers”) must use Form 13F for reports to the .... Explain why public disclosure of the securities would, in fact, be likely to ...
[ form13f.pdf - Read/Download File

Guidance Update: FORM 13F CONFIDENTIAL TREATMENT - Sec
FORM 13F CONFIDENTIAL TREATMENT REQUESTS BASED ON A CLAIM ... an explanation of how the public would be able to discern the Institutional.
[ im-guidance-2013-08.pdf - Read/Download File

SEC Release No. 34-15292
explanation and analysis of Rule. Form 13F set forth in Exchange. 14852, and ref lect the views of the date of this release. 1. Reporting requirements. Who.
[ 34-15292.pdf - Read/Download File

Why Do Firms File for Confidential Treatment? - Villanova University
Each firm is supposed to file one 13F-HR Form each quarter, and there could be .... significant level compared with model I. Since we are trying to explain why ...
[ Why Do Firms File for Confidential Treatment_.pdf - Read/Download File

checkpoints - Morrison Foerster
Form 13H. An investor can become subject to the Form 13H reporting requirements if it ... 5 Determined in the same manner as for purposes of Form 13F.
[ checkpoints-memo.pdf - Read/Download File

Introduction to the SEC and Company Filings Overview
hundreds of active form types, the filing requirements for any given company are .... notice to that effect, including an explanation for the delay. [Form .... (AUM) are required to file the quarterly Form 13F-HR, which discloses information about ...
[ MDR_SEC_Filings.pdf - Read/Download File

Investment Management Regulatory Update - Davis Polk
Nov 26, 2013 ... outside the scope of the Section 2(a)(20) definition of investment adviser. ... transition from the text-based Form 13F to the new online form and ...
[ 11.26.13.IMG_.Update.pdf - Read/Download File

Preparing and Transmitting Online Submissions
Jun 1, 2016 ... 9.1.1.1 Data Gathering Common to Ownership and Form D. In support of both ..... Explanation of Responses and Signature data is displayed.
[ vol_II_ch9.pdf - Read/Download File

View PDF - Connecticut Law Review
investors file a holdings report, known as Form 13F, with the Securities and Exchange ..... In 1998, the SEC provided an explanation of the requirements for CT.
[ 11-Carpenter.pdf - Read/Download File

Do Institutional Investors Have an Ace up Their Sleeves? - Columbia
amendments to Form 13F and that are not included in the standard 13F holdings ..... confidential holdings cannot explain the “return gap” documented by ...
[ Do Institutional Investors Have an Ace Up Their Sleeves.pdf - Read/Download File

Form 1042-S - IRS.gov
13f Address (number and street). 13g City or .... Explanation of Codes. Box 1. Income .... See the instructions to this form for further explanation. 7 Use only to ...
[ f1042s_15.pdf - Read/Download File

Regulation of Investment Advisers by the U.S. Securities - Stroock
Jun 8, 2016 ... A. Definition of Investment Adviser . ... B. Exclusions from Definition . ..... Institutional Investor Reporting on Form 13F .
[ PAFile120.pdf - Read/Download File

Why Do Institutions Delay Reporting Their Shareholdings? - SSRN
the 13F form which provides a comprehensive filing of portfolio ownership of all securities ..... certainly the evidence seems to counter this explanation of delays.
[ Institutional_Disclosure_Sept16.pdf - Read/Download File

Comments on Petition for Rulemaking to Shorten Reporting
Apr 30, 2013 ... requests that the current requirement to file reports on Form 13F with the .... the timing of reporting.14 As a result, it fails to explain why these ...
[ 27217.pdf - Read/Download File

The Impact of Mandatory Hedge Fund Portfolio Disclosure Stephen
Nov 18, 2010 ... the disclosure requirements of a Form 13F filing under the SEC rules ... An alternative explanation for excess volume of disclosed securities ...
[ FinDay_4-22-11_Schwarz.pdf - Read/Download File

agarwal_unblinded - Workspace
amendments to Form 13F and that are not included in the standard 13F ..... plausible explanation for a significant delay—barring a data coding error—is that it is ...
[ agarwal_unblinded.pdf - Read/Download File

Crawling EDGAR - The University of North Carolina at Chapel Hill
Mar 21, 2012 ... In this section we explain how to download filings from EDGAR. .... 13D/13F/13G statements (10-K statements take up on the ballpark of 100 ...
[ paper_edgar_v07.pdf - Read/Download File

10A NCAC 13F .1208 - ncrules.state.nc.us
10A NCAC 13F .1208 DEATH REPORTING REQUIREMENTS ... form, or if any such information is not yet available, the facility shall so explain on the form.
[ 10a ncac 13f .1208.pdf - Read/Download File

Industry Update - AST Fund Solutions
Sep 4, 2014 ... 34-72984), the SEC explained that information filed on Form 13F (by institutional investment managers exercising investment discretion with ...
[ news090214.pdf - Read/Download File

TCC Sep-Oct07(Blur/OnlineV) - TheCorporateCounsel.net
approving elements of compensation for each of the NEOs, and explain the ...... Form 13F is a quarterly filing required of (i) institutional investment managers that  ...
[ 2007_SeptOct-blur.pdf - Read/Download File

Form 04 - Lobbying Activity Report Instructions - State Ethics
not fully and accurately reported on the 14-day report (Form 13F) filed for that event. .... (See footnote #2 for a definition of “formally recognized county or regional ...
[ Activity Report Instructions.pdf - Read/Download File

SEC Forms - Intelligize
required to file registration statements, periodic reports, and other forms electronically with the .... May include an explanation for the delay. ..... Form 13F 45 days after calendar year end and after each of the first 3 quarter ends. Form 11-K 90 ...
[ Intelligize_SECFormsGuide2016-.pdf - Read/Download File

2015 Form 40P, Oregon Individual Income Tax Return - Oregon.gov
13 Capital gain or loss from federal Form 1040, line 13 ..............13F ..... If this is an amended return, complete this statement with an explanation of what you are ...
[ form-40p_101-055_2015.pdf - Read/Download File

Supervisor's Investigation of Employee's Accident/Incident
If no, explain in section N. ... N. DESCRIBE BRIEFLY IN NARRATIVE FORM THE CIRCUMSTANCES THAT LED TO AND CAUSED THIS OCCURRENCE.
[ OP70.13F.pdf - Read/Download File

Annotated Form 1042-S - Deloitte
13f City or town, state or province, country, ZIP or foreign postal code ... completing the form .... procedure. See the instructions to this form for further explanation.
[ us-tax-f1042s-annotated-012915.pdf - Read/Download File

Private Funds Practice NewsWire - Chadbourne & Parke LLP
Nov 4, 2014 ... definition of a “family office. ..... 9 Form N-1A is used for mutual fund registration pursuant to the ...... Form 13F (which is a public filing) is filed.
[ privatefunds_nw_fall14.pdf - Read/Download File

Imitation is the Sincerest Form of Flattery - Base Hit Investing
Apr 15, 2008 ... by which the portfolio beats the market makes a luck explanation extremely ..... the SEC's EDGAR website.6 All form 13F reports for Berkshire ...
[ Buffett-Imitation-is-sincerest-form-of-flattery.pdf - Read/Download File

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