Aggregated News From Investment Management Regulators

SEC Proposes Increasing the 13F Threshold to $3.5 billion


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On July 10, 2020, the Securities and Exchange Commission (“SEC”) proposed significantly increasing the reporting threshold requiring the filing of a Form 13F to $3.5 billion, a 35-fold increase from the current threshold.[1] Currently, under Rule 13f-1, investment managers that manage at least $100 million worth of equity securities publicly traded in the U.S. (“13(f) securities”) on the last day of any calendar month are required to file a Form 13F with the SEC. The form includes a table listing all of the U.S.­-traded equity securities managed by the investment manager, subject to a de minimis exception. Confidential treatment can also be requested. The $100 million threshold has not changed since Congress adopted the requirements in 1975 and the rules were adopted by the SEC in 1978.

Read the full article from Proskauer here:

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