Resources
Helpful links & insights for EDGAR and SEC.
Form 13F
To paraphrase the rules, if a manager has investment discretion on over $100 million in 13F Securities at any given month end period they are to start reporting (submit the Form 13F) in the 4Q of that year and continue at a minimum through the 3Q of the following year.
🔗 SEC Form 13F Overview
This page provides an overview of Form 13F, detailing who must file, what information is required, and how to access filings.
https://www.sec.gov/answers/form13f.htm
🔗 Official List of 13(f) Securities
Updated quarterly, this is the official list of securities that must be reported on Form 13F.
https://www.sec.gov/rules-regulations/staff-guidance/division-investment-management-frequently-asked-questions/official-list-section-13f-securities
🔗 SEC Instructions for Form 13F
Detailed instructions for preparing and submitting Form 13F filings.
https://www.sec.gov/files/form13f.pdf
Form 13G
🔗 SEC Beneficial Ownership Reporting Rules (13D/13G)
SEC guidance on when to file Schedule 13G versus 13D and how the rules apply.
https://www.sec.gov/answers/sched13.htm
🔗 Amendments to Modernize Beneficial Ownership Reporting
Final SEC rule adopting new 13G deadlines and requirements as of 2024.
https://www.sec.gov/files/33-11253-fact-sheet.pdf
🔗 EDGAR Form Schedule 13G XML Technical Guide
Technical details for preparing and submitting Schedule 13G using XML on EDGAR.
https://www.sec.gov/edgar/filer-information/current-edgar-technical-specifications
Form N-PX
🔗 SEC Final Rule: Enhanced Reporting of Proxy Votes
Explains the new proxy voting disclosure rules that apply to Form 13F filers.
https://www.sec.gov/news/press-release/2022-198
🔗 Form N-PX Instructions
Official instructions for completing and filing Form N-PX.
https://www.sec.gov/files/formn-px.pdf
🔗 Investor Bulletin: Say-on-Pay and Golden Parachute Votes
This bulletin explains shareholder advisory votes on executive compensation and golden parachute arrangements.
https://www.sec.gov/files/sayonpay.pdf
Form SHO (Rule 13f-2 Filing
🔗 SEC Rule 13f-2 Final Rule
Final rule outlining short position and activity reporting obligations under Regulation SHO.
https://www.sec.gov/news/press-release/2023-221
🔗 EDGAR Form SHO XML Specifications
Technical documentation for submitting Form SHO via EDGAR in XML format.
https://www.sec.gov/edgar/filer-information/current-edgar-technical-specifications
🔗 SEC Large Trader FAQ
FAQs about who qualifies as a large trader and when Form 13H must be filed.
https://www.sec.gov/divisions/marketreg/large-trader-faqs.htm
🔗 Form 13H Instructions
SEC’s official instructions for preparing and submitting Form 13H.
https://www.sec.gov/files/form13h.pdf
🔗 EDGAR Filer Manual
The comprehensive manual for all EDGAR submissions, including Form 13H.
https://www.sec.gov/edgar/filer-information/current-edgar-filer-manual
Form 13H (Large Trader Reporting)
🔗 EDGAR Next Enrollment Overview
SEC’s summary of what EDGAR Next is and why it's being implemented.
https://www.sec.gov/submit-filings/improving-edgar/edgar-next-improving-filer-access-account-management
🔗 EDGAR Next Final Rule
Full text of the final rule adopting EDGAR Next procedures and system changes.
https://www.sec.gov/files/33-11313-fact-sheet.pdf
🔗 SEC’s EDGAR Next FAQs
Frequently asked questions about EDGAR Next and what filers need to do.
https://www.sec.gov/submit-filings/improving-edgar/edgar-next-improving-filer-access-account-management/edgar-next-frequently-asked-questions
EDGAR Next
🔗 Filing a Form D Notice
This page provides comprehensive guidance on filing Form D, including who must file, filing deadlines, and instructions for using the EDGAR system.
https://www.sec.gov/resources-small-businesses/exempt-offerings/filing-form-d-notice
🔗 Form D (PDF)
This document contains the official Form D along with detailed instructions for its completion and submission.
https://www.sec.gov/files/formd.pdf
Form D
🔗 SEC Section 16 Overview
Explanation of insider reporting requirements under Section 16 of the Securities Exchange Act.
https://www.sec.gov/answers/form345.htm
🔗 Forms 3, 4, and 5 Instructions
Official SEC instructions for preparing and submitting Forms 3, 4, and 5 for insiders and officers.
https://www.sec.gov/files/forms-3-4-5.pdf
🔗 EDGAR Technical Specs – Section 16 Filings
EDGAR XML and formatting guidance for submitting Section 16 filings electronically.
https://www.sec.gov/edgar/filer-information/current-edgar-technical-specifications
Section 16 Filings (Forms 3, 4, and 5)
The ACN App.
An Easier Way to File.
Streamline compiling and submitting reports to EDGAR - directly from your web browser. The ACN App's solution suite is the premier choice for Form 13F & Schedule 13G/D submissions.