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ARTICLE · 16 JULY 2020

SEC Proposes Amendments To Update Form 13F

Herbert Smith Freehills Kramer LLP
Herbert Smith Freehills Kramer LLP
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Herbert Smith Freehills Kramer LLP

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The Securities and Exchange Commission (SEC) has recently proposed to amend the reporting threshold and make certain other changes to Form 13F. It should be noted that this is the first time...

United StatesCorporate/Commercial Law
Kevin Scanlan
Kevin Scanlan
David Yanvarashvili
David Yanvarashvili
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The Securities and Exchange Commission (SEC) has recently proposed to amend the reporting threshold and make certain other changes to Form 13F. It should be noted that this is the first time the reporting threshold would be adjusted in more than 40 years since the SEC first adopted Form 13F.

Background

Adopted in 1975, section 13(f) of the Securities Exchange Act of 1934, as amended (the Securities Exchange Act), requires that investment managers file a report with the SEC if they exercise investment discretion with respect to accounts holding certain equity securities having an aggregate fair market value on the last trading day of any month of any calendar year (Aggregate Value) of at least $100 million. Through SEC rulemaking, the SEC implemented the reporting requirement of section 13(f) by adopting Rule 13f-1 of the Securities Exchange Act and Form 13F.

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