Unlike in the case of the Form 13F filing pursuant to Rule 13f-1, the SEC will not publish an official list of the securities information of which is required to be reported on Form SHO pursuant to Rule 13f-2. Any equity security, whether issued by a U.S. or non-U.S. issuer, and...
全称National Association of Securities Dealers Automated Quotation全美证券交易商协会自动报价系统。纳斯达克始建于1971年,是一个完全采用电子交易的股票市场,目前有4400多支股票在此挂牌,也是美国最活跃的交易市场。不同于其他证券交易所,纳斯达克最著名的是它在位于纽约时代广场上的一块屏幕。纳斯达克以科技股而著名,比...
The Official List of Section 13(f) Securities primarily includes U.S. exchange-traded stocks (e.g., NYSE, AMEX, NASDAQ), shares of closed-end investment companies, and shares of exchange-traded funds (ETFs).” 3 SEC Proposes Amendments to Update Form 13F for Institutional Investment Managers...
What are SEC 13F Filings? Form13Ffillings are submitted quarterly by any manager controlling investments of at least $100 million. These managers can be private trusts, banks, insurance companies, investment advisors, and hedge funds. Funds must submit their list of qualifying 13F securities no mor...
and Transparency for Abroad-Based Listings on our Exchanges (EQUITABLE) Act prescribes increased disclosure requirements for such issuers and, beginning in 2025, the delisting from national securities exchanges such as Nasdaq of issuers included for three consecutive years on the SEC's list. On...
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然而，进一步审视上述上市对冲基金的13F，市场的反应很大程度上被夸大了。虽然这些基金是净多头，但相对于...
See the full list of FAQs SEC Form 10-K What is SEC Form 10-K? SEC Form 10-K is a report that public companies are required to file annually after the fourth fiscal quarter with the SEC. In accordance with the Securities Exchange Act of 1934, SEC Form 10-K needs to be filed ...
This new disclosure would shed light on the degree to which funds (and covered managers) recall securities to vote the accompanying proxy or leave them out on loan. Standardized descriptions and order of voting matters. Form N-PX filers would have to describe each voting matter using the ...
If only part of the securities with respect to which a Manager has investment discretion is reported by another Manager (or Managers), check the box for Report Type “13F COMBINATION REPORT,” include (on the Cover Page) the List of Other Managers Reporting for this Manager, and include ...