Filing Deadlines and To-Do List for August 2020

Hardin Compliance Consulting LLC
Contact

INVESTMENT MANAGERS

  • Form 13F: Form 13F Quarterly Filing for Q2 2020 is due for advisers within 45 days after the end of the calendar quarter. Due date is August 14, 2020.

HEDGE/PRIVATE FUND MANAGERS

  • Blue Sky Filings (Form D): Advisers to private funds should review fund blue sky filings and determine whether any amended or new filings are necessary. Generally, most states require a notice filing (“blue sky filing”) within 15 days of the first sale of interests in a fund, but state laws vary. Due August 15, 2020.
  • Form PF for Large Hedge Fund Advisers: Large hedge fund advisers must file Form PF within 60 days of each quarter-end on the IARD system. Due date is August 29, 2020.

BROKER-DEALERS

  • Rule 17a-5 Monthly and Fifth FOCUS Part II/IIA Filings: For the period ending July 31, 2020. For firms required to submit monthly FOCUS filings and those firms whose fiscal year-end is a date other than a calendar quarter. Due August 25, 2020.
  • Supplemental Inventory Schedule (“SIS”): For the month ending July 31, 2019. The SIS must be filed by a firm that is required to file FOCUS Report Part II, FOCUS Report Part IIA or FOGS Report Part I, with inventory positions as of the end of the FOCUS or FOGS reporting period, unless the firm has (1) a minimum dollar net capital or liquid capital requirement of less than $100,000; or (2) inventory positions consisting only of money market mutual funds. A firm with inventory positions consisting only of money market mutual funds must affirmatively indicate through the eFOCUS system that no SIS filing is required for the reporting period. Due August 28, 2020.
  • Annual Audit Reports for Fiscal Year-End June 30, 2020: FINRA requires that member firms submit their annual audit reports in electronic form. Firms must also file the report at the regional office of the SEC in which the firm has its principal place of business and the SEC’s principal office in Washington, DC. Firms registered in Arizona, Hawaii, Louisiana, or New Hampshire may have additional filing requirements. Due August 31, 2020.
  • SIPC-7 Assessment: For firms with a Fiscal Year-End of June 30. SIPC members are required to file the SIPC-7 General Assessment Reconciliation Form together with the assessment owed (less any assessment paid with the SIPC-6) within 60 days after the Fiscal Year-End. Due August 29, 2020.
  • SIPC-3 Certification of Exclusion from Membership: For firms with a Fiscal Year-End of July 31 AND claiming an exclusion from SIPC Membership under Section 78ccc(a)(2)(A) of the Securities Investor Protection Act of 1970. This annual filing is due within 30 days of the beginning of each fiscal year. Due August 30, 2020.
  • SIPC-6 Assessment: For firms with a Fiscal Year-End of January 31, 2019. SIPC members are required to file for the first half of the fiscal year a SIPC-6 General Assessment Payment Form together with the assessment owed within 30 days after the period covered. Due August 30, 2020.

MUTUAL FUND ADVISERS

  • Form N-MFP: Form N-MFP (Monthly Schedule of Portfolio Holdings of Money Market Funds) reports information about the fund’s holdings as of the last business day of the prior calendar month and must be filed no later than the fifth business day of each calendar month. Due date is August 7, 2020.
  • Form N-PX: Registered investment companies (other than small business investment companies) are required to annually file Form N-PX, containing the fund’s proxy voting record for the most recent twelve-month period ended June 30. Due date is August 31, 2020.

REGISTERED COMMODITY POOL OPERATORS / REGISTERED COMMODITY TRADING ADVISORS

  • Form CPO-PQR: (June 30 Quarter End): Small, Mid-Sized and Large Commodity Pool Operators are required to file Form CPO-PQR quarterly with the NFA. Due date is August 31, 2020.
  • Form CTA-PR (June 30 Quarter End): Commodity Trading Advisors are required to file Form CTA- PR quarterly with the NFA. Due date is August 14, 2020.

Photo Credits: Photo by timJ on Unsplash.

Written by:

Hardin Compliance Consulting LLC
Contact
more
less

Hardin Compliance Consulting LLC on:

Reporters on Deadline

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
Custom Email Digest
- hide
- hide

This website uses cookies to improve user experience, track anonymous site usage, store authorization tokens and permit sharing on social media networks. By continuing to browse this website you accept the use of cookies. Click here to read more about how we use cookies.