{"name":"Line4 regulatory submissions library","licence":"Line4's own text, and the way Line4 has collected and arranged these records, are licensed under CC BY 4.0. The facts themselves (names, codes, dates, frequencies, formats) belong to no one. The regulators' document titles, template names, quoted terms and documents belong to the regulators and are not covered by this licence: see each regulator's reuse terms. Not affiliated with or endorsed by any regulator.","license_url":"https://creativecommons.org/licenses/by/4.0/","credit":"Source: Line4 regulatory submissions library (CC BY 4.0), https://www.line4.ai","last_checked":"2026-11-13","url":"https://www.line4.ai/regulatory-returns","regulators":[{"id":"sec","last_checked":"2026-11-13","regulator":{"name":"U.S. Securities and Exchange Commission","short_name":"SEC","country":"United States","country_code":"US","region":"North America","website":"https://www.sec.gov/","what_it_does":"The US federal agency that regulates the securities markets. Its three-part mission, in its own words, is protecting investors, maintaining fair, orderly and efficient markets, and facilitating capital formation; it does this partly by requiring public companies, investment funds, broker-dealers, investment advisers and security-based swap market participants to register with it and to file regular reports, most of which go through its EDGAR filing system.","source":"https://www.sec.gov/about/mission"},"scope":{"text":"The returns named in this library's brief for this round: private fund adviser reporting (Form PF), registered fund reports (Form N-PORT, Form N-MFP, Form N-CEN), the institutional manager holdings report (Form 13F), investment adviser registration (Form ADV, with Form ADV-W covered in the same entry), the broker-dealer financial and operational report (the FOCUS Report, Form X-17A-5), broker-dealer registration (Form BD), the broker-dealer risk assessment report (Form 17-H), security-based swap dealer and major participant registration (the Form SBSE family), the Regulation A annual report (Form 1-K), and the Inline XBRL financial data operating companies and foreign private issuers attach to their periodic and current reports (10-K, 10-Q, 8-K, 20-F, 40-F), covered here as one return rather than five. The SEC's own Forms Index (161 forms across 7 pages, read 2026-11-13) and its EDGAR Filer Manual list many more forms and filer types than this. Left out: every other SEC form (registration statements such as S-1, proxy and tender-offer filings, Forms 3/4/5 insider ownership reports, Form D exempt-offering notices, municipal securities and transfer agent forms, PCAOB and self-regulatory-organisation filings such as Form 1 and Form CA-1, and the FFIEC/Federal Reserve bank-holding-company forms, which sit in this library's separate ffiec and frb entries), state securities regulator filings, and FINRA's own rulebook and systems (CRD, eFOCUS, BrokerCheck) beyond what SEC pages themselves say about them.","source":"https://www.sec.gov/submit-filings/forms-index"},"submission_systems":[{"name":"EDGAR (Electronic Data Gathering, Analysis, and Retrieval)","what":"The SEC's central electronic filing system, the primary way companies and individuals submit filings to the SEC. It comprises three portals (the EDGAR Filer Management Portal for access codes, the EDGAR Filing Portal, and the Online Forms Management Portal for Form D and Forms 3, 4, 5 and 144), and is open 6 a.m. to 10 p.m. ET on weekdays. Most of the returns described here, including Form N-PORT, Form N-MFP, Form N-CEN, Form 13F, the Form SBSE family, Form 1-K and the Inline XBRL periodic and current reports, are filed through it, following the EDGAR Filer Manual.","url":"https://www.sec.gov/submit-filings","source":"https://www.sec.gov/submit-filings"},{"name":"Investment Adviser Registration Depository (IARD) and Private Fund Reporting Depository (PFRD)","what":"The system investment advisers use to file Form ADV and Form ADV-W, built and operated for the SEC and state securities regulators by FINRA. PFRD, the system used to file Form PF, is a subsystem of IARD. Filers log in through crd.finra.org; the SEC's own IARD page gives system availability, fee and announcement information, and the current record is published on the Investment Adviser Public Disclosure (IAPD) website.","url":"https://www.sec.gov/about/divisions-offices/division-investment-management/electronic-filing-investment-advisers-iard","source":"https://www.sec.gov/divisions/investment/pfrd.shtml"},{"name":"Central Registration Depository (CRD)","what":"The system FINRA operates, on behalf of the SEC, the states and FINRA itself, through which a firm files Form BD to register as a broker-dealer (the one exception being a bank registering as a municipal securities dealer, which files Form MSD directly with the SEC).","url":"https://www.sec.gov/answers/brkrdlr.htm","source":"https://www.sec.gov/answers/brkrdlr.htm"}],"licence":{"name":"SEC.gov Website Dissemination policy","quote":"Information presented on sec.gov is considered public information and may be copied or further distributed by users of the web site without the SEC's permission. Please consider appropriate citation to the SEC as the source.","url":"https://www.sec.gov/about/privacy-information","checked":"2026-11-13","redistribution":"allowed","conditions":"The SEC asks for appropriate citation as the source, as a request rather than a requirement. The SEC seal, the EDGAR logo and the names EDGAR, EDGARLink and EDGARLink Online are the SEC's registered trademarks and must not be used in a trade name, trademark or domain name. US federal government works also carry no domestic copyright (17 U.S.C. 105).","decision":"link-only","decision_reason":"The SEC's own terms expressly allow copying and further distribution without its permission, but this library never hosts or copies a regulator's own documents, so only links, sizes and hashes are kept here."},"public_filed_data":[{"name":"Form N-PORT Data Sets","level":"firm-level","description":"Every fund's reported portfolio holdings, flows, risk metrics and related data, built only from information the Commission has disseminated, in quarterly ZIP files from October 2019 to the present. Since the 2024 amendments took effect, this covers monthly data published 60 days after each month-end rather than only the third month of each quarter.","url":"https://www.sec.gov/data-research/sec-markets-data/form-n-port-data-sets","format":"XML (zip)","returns":["form-n-port"],"reuse":"No separate reuse terms stated beyond the SEC's general website dissemination policy; the SEC's own disclaimer warns the data may contain extraction errors and is not a substitute for the underlying filings.","source":"https://www.sec.gov/data-research/sec-markets-data/form-n-port-data-sets"},{"name":"Form N-MFP Data Sets","level":"firm-level","description":"Every money market fund's monthly portfolio holdings and related data, extracted from the structured XML filings, in monthly ZIP files from September 2010 to the present.","url":"https://www.sec.gov/data-research/sec-markets-data/dera-form-n-mfp-data-sets","format":"XML (zip)","returns":["form-n-mfp"],"reuse":"No separate reuse terms stated beyond the SEC's general website dissemination policy.","source":"https://www.sec.gov/data-research/sec-markets-data/dera-form-n-mfp-data-sets"},{"name":"Form N-CEN Data Sets","level":"firm-level","description":"Every registered investment company's annual census report data, extracted from the structured XML filings, in quarterly ZIP files from September 2018 to the present.","url":"https://www.sec.gov/data-research/sec-markets-data/form-n-cen-data-sets","format":"XML (zip)","returns":["form-n-cen"],"reuse":"No separate reuse terms stated beyond the SEC's general website dissemination policy.","source":"https://www.sec.gov/data-research/sec-markets-data/form-n-cen-data-sets"},{"name":"EDGAR Full Text Search","level":"firm-level","description":"Full-text search of every EDGAR filing's documents and attachments since 2001, including Form 13F, the Form SBSE family, Form 1-K and the Inline XBRL-tagged periodic and current reports covered here.","url":"https://www.sec.gov/edgar/search/","format":"Web search; underlying JSON API at efts.sec.gov","returns":["form-13f","form-sbse","form-1-k","edgar-xbrl-periodic-reports"],"reuse":"No separate reuse terms stated beyond the SEC's general website dissemination policy.","source":"https://www.sec.gov/edgar/search/"},{"name":"Investment Adviser Public Disclosure (IAPD)","level":"firm-level","description":"Every SEC-registered (and SEC exempt reporting) adviser's current Form ADV, free of charge; a separate FOIA data file gives Part 1 registration data (names, addresses, CRD/SEC numbers, disclosure flags) without narrative text.","url":"https://adviserinfo.sec.gov/","format":"Web search, PDF, pipe-delimited text","returns":["form-adv"],"reuse":"No separate reuse terms stated beyond the SEC's general website dissemination policy.","source":"https://www.sec.gov/foia/docs/invfoia.htm"}],"gaps":["www.sec.gov/answers/form13f.htm answered HTTP 403 and was not retried; Form 13F's facts here instead come from the SEC's current Form 13F FAQ page (https://www.sec.gov/rules-regulations/staff-guidance/frequently-asked-questions-about-form-13f).","ecfr.gov served a Cloudflare-style challenge page (redirecting to unblock.federalregister.gov) on an early attempt and was not retried; legal text throughout instead comes from the Code of Federal Regulations annual edition (April 1, 2025) on govinfo.gov, which is not a challenge-blocked host.","FINRA's own systems and pages (finra.org: CRD's web application, eFOCUS/FINRA Gateway for the FOCUS Report, and BrokerCheck) were not read, because FINRA's Terms of Use are in this library's TERMS_RESTRICTED list (no automated access or copying without FINRA's prior written consent). This means: the electronic filing mechanics of FOCUS Report Parts I, II and IIA beyond what 17 CFR 240.17a-5 itself states; whether FINRA BrokerCheck publishes Form BD data; and the Form PF XML schema and PFRD technical specifications, which the SEC's own PFRD page says are hosted on iard.com, were not confirmed here.","No numbered breakdown of Form PF's own sections (beyond Section 1a and Section 7, named in the rule text for the hardship exemption), of FOCUS Report's Part IIB/IIC/CSE variants, of Form ADV's possible Part 3 (Form CRS), of Form BD's numbered items, or of Form SBSE's internal schedules (A, B, D, E, F, named by some secondary sources but not by an SEC page read this session) is given here, because the only way to confirm them this session would have been to read the forms' own PDF text, which this library does not do.","The December 2024 rule (Release 33-11342) that moved the FOCUS Report annual report and Form 17-H Item 4 onto EDGAR as Interactive Data Files sets different compliance dates by a broker-dealer's net capital tier; only that those dates were extended by twelve months by a September 2025 order (Release 33-11386), not the exact tiered dates themselves.","Whether the SEC's own Form N-PORT and Form N-CEN public data-set pages have yet been updated, in their downloadable files, to reflect the Form N-PORT move to monthly filing (effective November 17, 2025, and May 18, 2026 for smaller fund groups) was not checked by downloading and inspecting a data file this session; only the rule text and the pages' own descriptions were read.","Form ADV's Part 3 (the client relationship summary, Form CRS) is widely known to exist from secondary sources, but no current sec.gov page describing Form ADV's own part structure (rather than general filing or disclosure-brochure guidance) was found this session, so only Part I and Part II are named here, from a 2005 legacy page.","The exact number of EDGAR's Inline XBRL validation rules (in the EDGAR Filer Manual and the separate EDGAR XBRL Guide) was not counted this session; the Filer Manual's own Interactive Data chapter was fetched for size and hash only, not read as text, and the EDGAR XBRL Guide itself was not fetched."],"sources":[{"title":"SEC.gov Mission","url":"https://www.sec.gov/about/mission"},{"title":"SEC.gov Submit Filings","url":"https://www.sec.gov/submit-filings"},{"title":"SEC.gov Forms Index","url":"https://www.sec.gov/submit-filings/forms-index"},{"title":"SEC.gov Privacy and Security (dissemination policy)","url":"https://www.sec.gov/about/privacy-information"},{"title":"SEC.gov Inline XBRL","url":"https://www.sec.gov/data-research/structured-data/inline-xbrl"},{"title":"SEC.gov Standard Taxonomies: Operating Companies","url":"https://www.sec.gov/data-research/structured-data/taxonomies-schemas/standard-taxonomies/operating-companies"},{"title":"SEC.gov EDGAR Full Text Search","url":"https://www.sec.gov/edgar/search/"},{"title":"Electronic Filing of Form PF for Investment Advisers on PFRD","url":"https://www.sec.gov/divisions/investment/pfrd.shtml"},{"title":"Electronic Filing for Investment Advisers on IARD","url":"https://www.sec.gov/about/divisions-offices/division-investment-management/electronic-filing-investment-advisers-iard"},{"title":"Form PF Frequently Asked Questions","url":"https://www.sec.gov/rules-regulations/staff-guidance/division-investment-management-frequently-asked-questions/form-pf-faq"},{"title":"Rule-regulations page for Release IA-6297","url":"https://www.sec.gov/rules-regulations/2023/05/ia-6297"},{"title":"Rule-regulations page for S7-22-22 (Form PF 2024 amendments compliance date)","url":"https://www.sec.gov/rules-regulations/2026/08/s7-22-22"},{"title":"Frequently Asked Questions About Form 13F","url":"https://www.sec.gov/rules-regulations/staff-guidance/frequently-asked-questions-about-form-13f"},{"title":"How To Register as an Investment Adviser","url":"https://www.sec.gov/divisions/investment/iaregulation/regia.htm"},{"title":"Broker-Dealer Registration: Where to File","url":"https://www.sec.gov/answers/brkrdlr.htm"},{"title":"Division of Trading and Markets, Office of Broker-Dealer Finances","url":"https://www.sec.gov/about/divisions-offices/division-trading-markets/broker-dealers/division-trading-markets-office-broker-dealer-finances"},{"title":"Rule-regulations page: Electronic Submission of Certain Material Under the Exchange Act; FOCUS Report Amendments","url":"https://www.sec.gov/rules-regulations/2025/09/electronic-submission-certain-material-under-securities-exchange-act-1934-amendments-regarding-focus"},{"title":"Regulation A: Guidance for Issuers","url":"https://www.sec.gov/resources-small-businesses/small-business-compliance-guides/regulation-guidance-issuers"},{"title":"Investment Company Reporting Modernization Frequently Asked Questions","url":"https://www.sec.gov/rules-regulations/staff-guidance/investment-company-reporting-modernization-frequently-asked-questions"},{"title":"SEC Adopts Reporting Enhancements for Registered Investment Companies (Press Release 2024-110)","url":"https://www.sec.gov/newsroom/press-releases/2024-110"},{"title":"Form N-PORT Data Sets","url":"https://www.sec.gov/data-research/sec-markets-data/form-n-port-data-sets"},{"title":"Form N-MFP Data Sets","url":"https://www.sec.gov/data-research/sec-markets-data/dera-form-n-mfp-data-sets"},{"title":"Form N-CEN Data Sets","url":"https://www.sec.gov/data-research/sec-markets-data/form-n-cen-data-sets"},{"title":"IAPD - Investment Adviser Public Disclosure","url":"https://adviserinfo.sec.gov/"},{"title":"Frequently Requested FOIA Document: Information About Registered Investment Advisers","url":"https://www.sec.gov/foia/docs/invfoia.htm"},{"title":"SEC.gov rule-release page for 33-10514 (Inline XBRL Filing of Tagged Data)","url":"https://www.sec.gov/rule-release/33-10514"},{"title":"EDGAR Filer Manual","url":"https://www.sec.gov/submit-filings/edgar-filer-manual"},{"title":"Federal Register Notice 2026-18905 (Inline XBRL exemptive relief order)","url":"https://www.govinfo.gov/content/pkg/FR-2026-09-15/html/2026-18905.htm"},{"title":"Code of Federal Regulations, Title 17, Volume 3 (2025 annual edition)","url":"https://www.govinfo.gov/content/pkg/CFR-2025-title17-vol3/html/CFR-2025-title17-vol3.htm"},{"title":"Code of Federal Regulations, Title 17, Volume 4 (2025 annual edition)","url":"https://www.govinfo.gov/content/pkg/CFR-2025-title17-vol4/html/CFR-2025-title17-vol4.htm"},{"title":"Code of Federal Regulations, Title 17, Volume 5 (2025 annual edition)","url":"https://www.govinfo.gov/content/pkg/CFR-2025-title17-vol5/html/CFR-2025-title17-vol5.htm"}],"returns":[{"id":"form-pf","code":"Form PF","name":"Private fund reporting","official_name":"Form PF: Reporting Form for Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors","group":"Private funds","status":"in force","status_note":{"text":"Form PF has been amended twice recently. The 2023 amendments (Release IA-6297, adding current and quarterly event reporting for large hedge fund and private equity fund advisers) took effect on 11 June 2024 and are in force. The broader 2024 amendments (Release IA-6546, which among other things move large hedge fund advisers to calendar-quarter reporting) have had their compliance date delayed four times since being adopted; a Commission order issued 31 August 2026 (Release IA-6992) delays compliance with the 2024 amendments until 1 July 2027, so advisers currently still file the pre-2024-amendment version of the form.","source":"https://www.sec.gov/rules-regulations/2026/08/s7-22-22"},"purpose":{"text":"Form PF is the confidential reporting form certain SEC-registered investment advisers to private funds (including those also registered with the CFTC as a commodity pool operator or commodity trading adviser) file about the private funds they manage. The Commission and the Financial Stability Oversight Council use it to monitor systemic risk in the private fund industry and to support the SEC's own regulatory oversight and investor-protection work.","source":"https://www.sec.gov/rules-regulations/2026/08/s7-22-22"},"who_files":{"text":"An investment adviser registered, or required to be registered, with the SEC under section 203 of the Investment Advisers Act that acts as adviser to one or more private funds and that, together with its related persons, managed private fund assets of at least $150 million as of the end of its most recently completed fiscal year. Large hedge fund advisers (at least $1.5 billion in hedge fund assets under management) and large private equity fund advisers (at least $2 billion in private equity fund assets under management) have extra reporting obligations.","source":"https://www.govinfo.gov/content/pkg/CFR-2025-title17-vol5/html/CFR-2025-title17-vol5.htm"},"frequency":{"value":"varies","text":"Most advisers update Form PF at least annually. Large hedge fund advisers file quarterly updates. Certain large hedge fund advisers and large private equity fund advisers must also file a current report as soon as practicable, but no later than 72 hours, after specified triggering events.","source":"https://www.sec.gov/rules-regulations/staff-guidance/division-investment-management-frequently-asked-questions/form-pf-faq"},"deadline":{"text":"An annual update is due no later than 120 calendar days after the end of the adviser's fiscal year. A large hedge fund adviser's quarterly update is due within 60 calendar days after the end of the calendar quarter. A current report required of certain large hedge fund advisers (on specified fund events) must be filed as soon as practicable but no later than 72 hours after the event.","source":"https://www.sec.gov/rules-regulations/staff-guidance/division-investment-management-frequently-asked-questions/form-pf-faq"},"formats":{"values":["Web form","XML"],"text":"Filed online with the Form PF filing system on the Private Fund Reporting Depository (PFRD), itself a subsystem of the Investment Adviser Registration Depository (IARD): either through a fillable form on the PFRD website or by an XML submission built to the Form PF XML schema, which the PFRD's operator (not the SEC) publishes on iard.com.","source":"https://www.sec.gov/divisions/investment/pfrd.shtml"},"legal_basis":[{"title":"17 CFR 275.204(b)-1 (Reporting by investment advisers to private funds)","url":"https://www.govinfo.gov/content/pkg/CFR-2025-title17-vol5/html/CFR-2025-title17-vol5.htm"},{"title":"Release IA-6297, Form PF; Event Reporting for Large Hedge Fund Advisers and Private Equity Fund Advisers (May 3, 2023)","url":"https://www.sec.gov/rules-regulations/2023/05/ia-6297"},{"title":"Release IA-6992, Form PF compliance-date delay to July 1, 2027 (August 31, 2026)","url":"https://www.sec.gov/rules-regulations/2026/08/s7-22-22"}],"templates":{"count":0,"items":[],"note":"Form PF is organised into numbered sections that depend on the adviser's and its funds' type (every filer completes a general section; large hedge fund, liquidity fund and private equity fund advisers complete further sections; a temporary hardship exemption is requested on Section 1a and Section 7). This library read that structure only from the rule text (17 CFR 275.204(b)-1(f), which names Section 1a and Section 7) and from SEC staff FAQs that refer to sections by topic, not from the form's own PDF, so the full numbered list is not given here.","source":"https://www.govinfo.gov/content/pkg/CFR-2025-title17-vol5/html/CFR-2025-title17-vol5.htm"},"documents":["form-pf-pdf","sec-pfrd-page","sec-form-pf-faq","rule-ia-6297-landing","rule-ia-6297-pdf","rule-pf-2024-amendments-landing","rule-ia-6546-pdf"],"validation_rules":{"published":true,"count":null,"count_basis":"Not counted here.","where":null,"machine_readable":true,"rule_format":"An XML schema for Form PF submissions, published by the PFRD's operator (FINRA) on iard.com rather than on sec.gov.","note":"The SEC's own PFRD page names the schema and says where it is published (iard.com), but this library did not fetch iard.com, so the schema itself and any SEC-published edit checks were not read.","source":"https://www.sec.gov/divisions/investment/pfrd.shtml"},"public_data":{"level":"none found","text":"Form PF is confidential. The rule itself requires electronic filing with the PFRD and the Commission's own rulemaking pages repeatedly describe Form PF as 'the confidential reporting form' for private fund advisers; no firm-level or aggregate public dataset built from Form PF was found on sec.gov.","source":"https://www.sec.gov/rules-regulations/2026/08/s7-22-22"},"sources":["https://www.sec.gov/divisions/investment/pfrd.shtml","https://www.sec.gov/rules-regulations/staff-guidance/division-investment-management-frequently-asked-questions/form-pf-faq","https://www.sec.gov/rules-regulations/2023/05/ia-6297","https://www.sec.gov/rules-regulations/2026/08/s7-22-22","https://www.govinfo.gov/content/pkg/CFR-2025-title17-vol5/html/CFR-2025-title17-vol5.htm","https://www.sec.gov/submit-filings/forms-index"]},{"id":"form-n-port","code":"Form N-PORT","name":"Monthly portfolio holdings report","official_name":"Form N-PORT: Monthly Portfolio Investments Report","group":"Registered funds","status":"in force","status_note":{"text":"Rule 30b1-9 was amended in September 2024 to make Form N-PORT a true monthly filing: reports are now due 30 days after each month-end (rather than bundled into one filing 60 days after each fiscal quarter-end), and the SEC now publishes most of each month's data 60 days after that month-end (rather than only the third month of each quarter). The amendment took effect for most fund groups on 17 November 2025 and for fund groups with net assets under $1 billion on 18 May 2026, so by the date this was checked both dates had passed and the new monthly regime applies.","source":"https://www.govinfo.gov/content/pkg/CFR-2025-title17-vol5/html/CFR-2025-title17-vol5.htm"},"purpose":{"text":"Form N-PORT is the monthly report of a fund's complete portfolio holdings, derivatives positions, return data, flows, risk metrics and securities lending information, used by the Commission to monitor fund portfolios; most of the data is also published for investors and researchers.","source":"https://www.sec.gov/data-research/sec-markets-data/form-n-port-data-sets"},"who_files":{"text":"A registered management investment company, or an exchange-traded fund organised as a unit investment trust, or a series of either, other than a fund regulated as a money market fund under rule 2a-7 or a small business investment company registered on Form N-5.","source":"https://www.sec.gov/data-research/sec-markets-data/form-n-port-data-sets"},"frequency":{"value":"monthly","text":"Monthly: a report must be filed for every month, current as of the last business day or last calendar day of that month. Before the 2024 amendments took effect (17 November 2025, or 18 May 2026 for fund groups with under $1 billion in net assets), the three monthly reports for a fiscal quarter were bundled into one filing after the quarter-end instead.","source":"https://www.govinfo.gov/content/pkg/CFR-2025-title17-vol5/html/CFR-2025-title17-vol5.htm"},"deadline":{"text":"Reports on Form N-PORT must be filed with the Commission no later than 30 days after the end of each month.","source":"https://www.govinfo.gov/content/pkg/CFR-2025-title17-vol5/html/CFR-2025-title17-vol5.htm"},"formats":{"values":["XML"],"text":"Filed electronically on EDGAR as a structured XML submission; a fund's Regulation S-X compliant portfolio schedule for the first and third fiscal-quarter months is attached as a separate Part F (Exhibit F) exhibit.","source":"https://www.sec.gov/rules-regulations/staff-guidance/investment-company-reporting-modernization-frequently-asked-questions"},"legal_basis":[{"title":"17 CFR 270.30b1-9 (Monthly report)","url":"https://www.govinfo.gov/content/pkg/CFR-2025-title17-vol5/html/CFR-2025-title17-vol5.htm"}],"templates":{"count":0,"items":[],"note":"Form N-PORT's own parts (general fund information, portfolio- and position-level data, risk metrics, explanatory notes) were not itemised from an HTML page this session; the one part confirmed from such a page is Part F (Exhibit F), the Regulation S-X compliant portfolio schedule attached for the first and third month of each fiscal quarter.","source":"https://www.sec.gov/rules-regulations/staff-guidance/investment-company-reporting-modernization-frequently-asked-questions"},"documents":["form-n-port-pdf","form-n-port-readme-pdf","sec-form-n-port-data-page","sec-ic-reporting-modernization-faq","sec-press-release-2024-110"],"validation_rules":{"published":false,"count":null,"where":null,"machine_readable":false,"note":"No published catalogue of Form N-PORT edit checks was found on sec.gov; EDGAR validates the XML submission's structure against its own technical specification at filing time.","source":"https://www.sec.gov/data-research/sec-markets-data/form-n-port-data-sets"},"public_data":{"level":"firm-level","text":"The SEC publishes Form N-PORT data sets, built only from information disseminated by the Commission, in quarterly ZIP downloads (each file around 400-690 MB over 2019-2026). Since the 2024 amendments took effect, most monthly data is published 60 days after each month-end rather than only the third month of each quarter; the SEC's own disclaimer warns the data may contain extraction errors and is not a substitute for the underlying filings.","url":"https://www.sec.gov/data-research/sec-markets-data/form-n-port-data-sets","format":"XML (zip)","source":"https://www.sec.gov/data-research/sec-markets-data/form-n-port-data-sets"},"sources":["https://www.sec.gov/data-research/sec-markets-data/form-n-port-data-sets","https://www.sec.gov/rules-regulations/staff-guidance/investment-company-reporting-modernization-frequently-asked-questions","https://www.sec.gov/newsroom/press-releases/2024-110","https://www.govinfo.gov/content/pkg/CFR-2025-title17-vol5/html/CFR-2025-title17-vol5.htm","https://www.sec.gov/submit-filings/forms-index"]},{"id":"form-n-mfp","code":"Form N-MFP","name":"Money market fund monthly schedule of portfolio holdings","official_name":"Form N-MFP: Monthly Schedule of Portfolio Holdings of Money Market Funds","group":"Registered funds","status":"in force","purpose":{"text":"Form N-MFP is the monthly report of a money market fund's portfolio holdings and related series- and class-level data (net and shadow net asset values, liquid assets, shareholder flows and so on) for the preceding month, which the Commission uses to monitor money market funds; it also underlies the SEC's own published money market fund statistics.","source":"https://www.sec.gov/data-research/sec-markets-data/dera-form-n-mfp-data-sets"},"who_files":{"text":"Every registered open-end management investment company, or series of one, that is regulated as a money market fund under rule 2a-7 of the Investment Company Act of 1940.","source":"https://www.govinfo.gov/content/pkg/CFR-2025-title17-vol5/html/CFR-2025-title17-vol5.htm"},"frequency":{"value":"monthly","text":"Monthly, covering the fund's holdings current as of the last business day or any subsequent calendar day of the preceding month.","source":"https://www.govinfo.gov/content/pkg/CFR-2025-title17-vol5/html/CFR-2025-title17-vol5.htm"},"deadline":{"text":"No later than the fifth business day of each month.","source":"https://www.govinfo.gov/content/pkg/CFR-2025-title17-vol5/html/CFR-2025-title17-vol5.htm"},"formats":{"values":["XML"],"text":"Filed electronically on EDGAR as a structured XML submission; the SEC's public data sets are 'extracted from EDGAR eXtensible Markup Language (XML) submissions in a flat file format'. Since July 2025 the data sets also include the newer N-MFP3 submission type alongside the legacy N-MFP forms.","source":"https://www.sec.gov/data-research/sec-markets-data/dera-form-n-mfp-data-sets"},"legal_basis":[{"title":"17 CFR 270.30b1-7 (Monthly report for money market funds)","url":"https://www.govinfo.gov/content/pkg/CFR-2025-title17-vol5/html/CFR-2025-title17-vol5.htm"}],"templates":{"count":0,"items":[],"note":"Form N-MFP's own parts were not itemised from an HTML page this session.","source":"https://www.sec.gov/data-research/sec-markets-data/dera-form-n-mfp-data-sets"},"documents":["form-n-mfp-pdf","form-n-mfp-readme-pdf","sec-form-n-mfp-data-page"],"validation_rules":{"published":false,"count":null,"where":null,"machine_readable":false,"note":"No published catalogue of Form N-MFP edit checks was found on sec.gov.","source":"https://www.sec.gov/data-research/sec-markets-data/dera-form-n-mfp-data-sets"},"public_data":{"level":"firm-level","text":"The SEC publishes Form N-MFP data sets monthly (quarterly before 2022), as flat files, running from September 2010 to the present; the same disclaimer about possible extraction errors applies as for Form N-PORT.","url":"https://www.sec.gov/data-research/sec-markets-data/dera-form-n-mfp-data-sets","format":"XML (zip)","source":"https://www.sec.gov/data-research/sec-markets-data/dera-form-n-mfp-data-sets"},"sources":["https://www.sec.gov/data-research/sec-markets-data/dera-form-n-mfp-data-sets","https://www.govinfo.gov/content/pkg/CFR-2025-title17-vol5/html/CFR-2025-title17-vol5.htm","https://www.sec.gov/submit-filings/forms-index"]},{"id":"form-n-cen","code":"Form N-CEN","name":"Annual census report for registered investment companies","official_name":"Form N-CEN: Annual Report for Registered Investment Companies","group":"Registered funds","status":"in force","purpose":{"text":"Form N-CEN is the annual census-type report every registered investment company files, replacing the old semi-annual Form N-SAR from June 2018. The 2024 amendments added items asking open-end funds about the service providers they use to meet liquidity risk management programme requirements.","source":"https://www.sec.gov/newsroom/press-releases/2024-110"},"who_files":{"text":"Every management investment company and every unit investment trust registered under the Investment Company Act of 1940; the SEC's own dataset description extends this to every registered investment company other than a face-amount certificate company.","source":"https://www.govinfo.gov/content/pkg/CFR-2025-title17-vol5/html/CFR-2025-title17-vol5.htm"},"frequency":{"value":"annual","text":"At least every twelve months.","source":"https://www.govinfo.gov/content/pkg/CFR-2025-title17-vol5/html/CFR-2025-title17-vol5.htm"},"deadline":{"text":"A management investment company must file not more than 75 calendar days after the close of its fiscal year; a unit investment trust must file not more than 75 calendar days after the close of the calendar year.","source":"https://www.govinfo.gov/content/pkg/CFR-2025-title17-vol5/html/CFR-2025-title17-vol5.htm"},"formats":{"values":["XML"],"text":"Filed electronically on EDGAR as a structured XML submission; the SEC's data-set page describes Form N-CEN data as 'extracted from N-CEN eXtensible Markup Language (XML) submissions'.","source":"https://www.sec.gov/data-research/sec-markets-data/form-n-cen-data-sets"},"legal_basis":[{"title":"17 CFR 270.30a-1 (Annual report for registered investment companies)","url":"https://www.govinfo.gov/content/pkg/CFR-2025-title17-vol5/html/CFR-2025-title17-vol5.htm"}],"templates":{"count":0,"items":[],"note":"Form N-CEN's items are conditional on the registrant's type (open-end fund, closed-end fund, exchange-traded fund, unit investment trust and so on), rather than organised as a fixed, named set of schedules, so no breakdown is given here.","source":"https://www.sec.gov/data-research/sec-markets-data/form-n-cen-data-sets"},"documents":["form-n-cen-pdf","form-n-cen-readme-pdf","sec-form-n-cen-data-page","sec-press-release-2024-110"],"validation_rules":{"published":false,"count":null,"where":null,"machine_readable":false,"note":"No published catalogue of Form N-CEN edit checks was found on sec.gov.","source":"https://www.sec.gov/data-research/sec-markets-data/form-n-cen-data-sets"},"public_data":{"level":"firm-level","text":"The SEC publishes Form N-CEN data sets quarterly, as flat files, running from September 2018 to the present; the same disclaimer about possible extraction errors applies as for Form N-PORT.","url":"https://www.sec.gov/data-research/sec-markets-data/form-n-cen-data-sets","format":"XML (zip)","source":"https://www.sec.gov/data-research/sec-markets-data/form-n-cen-data-sets"},"sources":["https://www.sec.gov/data-research/sec-markets-data/form-n-cen-data-sets","https://www.sec.gov/newsroom/press-releases/2024-110","https://www.govinfo.gov/content/pkg/CFR-2025-title17-vol5/html/CFR-2025-title17-vol5.htm","https://www.sec.gov/submit-filings/forms-index"]},{"id":"form-13f","code":"Form 13F","name":"Institutional investment manager holdings report","official_name":"Form 13F: Information Required of Institutional Investment Managers Pursuant to Section 13(f)","group":"Markets and trading","status":"in force","purpose":{"text":"Form 13F discloses the Section 13(f) securities holdings of institutional investment managers, giving the SEC and the public a quarterly picture of who holds what; Congress passed section 13(f) of the Exchange Act in 1975 to increase public availability of institutional holdings information and so increase investor confidence in US markets.","source":"https://www.sec.gov/rules-regulations/staff-guidance/frequently-asked-questions-about-form-13f"},"who_files":{"text":"Any institutional investment manager that uses the US mail or another means of interstate commerce in its business and exercises investment discretion over $100 million or more in Section 13(f) securities. This covers banks, insurance companies, broker-dealers, pension funds and corporations that manage their own portfolios, not just SEC-registered investment advisers; a trustee is an institutional investment manager, but a natural person managing only their own account is not.","source":"https://www.sec.gov/rules-regulations/staff-guidance/frequently-asked-questions-about-form-13f"},"frequency":{"value":"quarterly","text":"Quarterly, once the $100 million threshold is first met: the initial report covers the quarter in which the threshold was met, with three further quarterly filings for the rest of that calendar year.","source":"https://www.sec.gov/rules-regulations/staff-guidance/frequently-asked-questions-about-form-13f"},"deadline":{"text":"Within 45 days after the end of the relevant calendar quarter (so, for example, by February 14 for the quarter ended December 31).","source":"https://www.sec.gov/rules-regulations/staff-guidance/frequently-asked-questions-about-form-13f"},"formats":{"values":["Web form","XML"],"text":"EDGAR filing has been mandatory for every public Form 13F submission since 1999, and mandatory for Form 13F confidential treatment requests since 28 February 2023. A filer must either use the online form on the EDGAR Filing Website and build the Information Table to the EDGAR XML Technical Specification, or construct the whole filing in that XML format; the free-text ASCII format was discontinued in 2013.","source":"https://www.sec.gov/rules-regulations/staff-guidance/frequently-asked-questions-about-form-13f"},"legal_basis":[{"title":"Section 13(f) of the Securities Exchange Act of 1934","url":"https://www.sec.gov/rules-regulations/staff-guidance/frequently-asked-questions-about-form-13f"}],"templates":{"count":0,"items":[],"note":"Form 13F is a cover page plus a single Information Table (issuer name, class of security, CUSIP, number of shares and fair market value for each Section 13(f) security held) rather than a set of named schedules, so no breakdown is given here.","source":"https://www.sec.gov/rules-regulations/staff-guidance/frequently-asked-questions-about-form-13f"},"documents":["form-13f-pdf","sec-13f-faq"],"validation_rules":{"published":true,"count":null,"count_basis":"Not counted here.","where":"https://www.sec.gov/submit-filings/edgar-filer-manual","machine_readable":true,"rule_format":"EDGAR validates every Form 13F submission against the EDGAR XML Technical Specification at filing time; filing instructions are in Chapter 8 of the EDGAR Filer Manual.","note":"No separate, human-readable catalogue of Form 13F business-rule edits (beyond the schema itself) was found on sec.gov.","source":"https://www.sec.gov/rules-regulations/staff-guidance/frequently-asked-questions-about-form-13f"},"public_data":{"level":"firm-level","text":"Form 13F filings are public on EDGAR (searchable by manager or security). A manager may request confidential treatment of part of a report under section 13(f)(4) and rule 24b-2, and information about a natural person's, estate's or trust's personal holdings is never disclosed.","url":"https://www.sec.gov/edgar/search/","source":"https://www.sec.gov/rules-regulations/staff-guidance/frequently-asked-questions-about-form-13f"},"sources":["https://www.sec.gov/rules-regulations/staff-guidance/frequently-asked-questions-about-form-13f","https://www.sec.gov/edgar/search/","https://www.sec.gov/submit-filings/forms-index"]},{"id":"form-adv","code":"Form ADV","name":"Investment adviser registration and annual updating amendment","official_name":"Form ADV: Uniform Application for Investment Adviser Registration and Report by Exempt Reporting Advisers","group":"Investment advisers","status":"in force","status_note":{"text":"Form ADV-W, the notice of withdrawal from investment adviser registration, is covered in this same entry rather than as a separate return. A state-registered adviser that becomes eligible for SEC registration must apply within 90 days of its annual updating amendment reporting that eligibility; an SEC-registered adviser that becomes ineligible must file Form ADV-W to withdraw within 180 days of its fiscal year end.","source":"https://www.govinfo.gov/content/pkg/CFR-2025-title17-vol5/html/CFR-2025-title17-vol5.htm"},"purpose":{"text":"Form ADV is how a firm applies for, and keeps current, registration as an investment adviser with the SEC (or reports as an SEC exempt reporting adviser); Part 1 is used in the SEC's own regulatory programme, and Part 2 is the plain-English brochure an adviser must give to clients.","source":"https://www.sec.gov/divisions/investment/iaregulation/regia.htm"},"who_files":{"text":"Every applicant for registration with the SEC as an investment adviser, and every SEC exempt reporting adviser. An adviser with regulatory assets under management of less than $100 million generally cannot register with the SEC (and must register with the states instead); the Dodd-Frank Act set the $100 million threshold, and an adviser may register once it reaches $100 million but must register once it reaches $110 million, with a buffer down to $90 million before it must withdraw. An adviser to a registered investment company or business development company must register with the SEC regardless of size.","source":"https://www.govinfo.gov/content/pkg/CFR-2025-title17-vol5/html/CFR-2025-title17-vol5.htm"},"frequency":{"value":"annual","text":"An annual updating amendment to Schedule I is required every year, whether or not the information on it has changed; other items are amended whenever the information on file becomes inaccurate, some promptly and some (per Form ADV's own Instruction 10) within the same 90-day annual-update window.","source":"https://www.sec.gov/about/divisions-offices/division-investment-management/electronic-filing-investment-advisers-iard"},"deadline":{"text":"The annual updating amendment is due within 90 days after the end of the adviser's fiscal year. On the initial application, the SEC must grant registration or begin proceedings to deny it within 45 days of a fully and properly completed filing.","source":"https://www.sec.gov/divisions/investment/iaregulation/regia.htm"},"formats":{"values":["Web form","PDF"],"text":"Part 1 (and Form ADV-W) are filed electronically through the Investment Adviser Registration Depository (IARD); the Part 2 brochure is filed and published as a PDF document.","source":"https://www.sec.gov/about/divisions-offices/division-investment-management/electronic-filing-investment-advisers-iard"},"legal_basis":[{"title":"Section 203 of the Investment Advisers Act of 1940 (15 U.S.C. 80b-3)","url":"https://www.govinfo.gov/content/pkg/CFR-2025-title17-vol5/html/CFR-2025-title17-vol5.htm"},{"title":"17 CFR 275.203A-1 (Eligibility for SEC registration; switching to or from SEC registration)","url":"https://www.govinfo.gov/content/pkg/CFR-2025-title17-vol5/html/CFR-2025-title17-vol5.htm"}],"templates":{"count":2,"items":[{"code":"Part I","name":"Registration and reporting information used in the SEC's investment adviser regulatory programme"},{"code":"Part II","name":"Brochure: plain-English disclosure of the adviser's business and practices, given to clients"}],"note":"Read from the SEC's own (2005, legacy) description of the form's two parts; a current page describing the form's own part structure, rather than IARD filing mechanics, was not found this session, so a possible Part 3 (Form CRS, the client relationship summary some advisers also file) is not confirmed here.","source":"https://www.sec.gov/divisions/investment/iaregulation/regia.htm"},"documents":["form-adv-pdf","form-adv-w-pdf","sec-regia-page","sec-iard-page","sec-adviserinfo-iapd","sec-foia-invfoia"],"validation_rules":{"published":false,"count":null,"where":null,"machine_readable":false,"note":"No published catalogue of Form ADV edit checks was found on sec.gov.","source":"https://www.sec.gov/about/divisions-offices/division-investment-management/electronic-filing-investment-advisers-iard"},"public_data":{"level":"firm-level","text":"Every registered adviser's current Form ADV is published on the Investment Adviser Public Disclosure (IAPD) website, free of charge; the SEC also distributes a FOIA-requested data file of Part 1 registration information (region, CRD and SEC numbers, names, addresses and disclosure flags, but no narrative text).","url":"https://adviserinfo.sec.gov/","format":"Web search, PDF, pipe-delimited text","source":"https://www.sec.gov/foia/docs/invfoia.htm"},"sources":["https://www.sec.gov/divisions/investment/iaregulation/regia.htm","https://www.sec.gov/about/divisions-offices/division-investment-management/electronic-filing-investment-advisers-iard","https://www.sec.gov/foia/docs/invfoia.htm","https://www.govinfo.gov/content/pkg/CFR-2025-title17-vol5/html/CFR-2025-title17-vol5.htm","https://www.sec.gov/submit-filings/forms-index"]},{"id":"form-x-17a-5","code":"Form X-17A-5","name":"FOCUS Report (broker-dealer financial and operational report)","official_name":"Financial and Operational Combined Uniform Single (FOCUS) Report","group":"Broker-dealers","status":"in force","status_note":{"text":"A December 2024 rule (Release 33-11342) moved the Part III annual report onto EDGAR and required it, and Item 4 of Form 17-H, to be filed as Interactive Data Files; a Commission order of 11 September 2026 (Release 34-106339) then exempted Form X-17A-5 Part III and Form 17-H from the Inline XBRL tagging part of that requirement specifically, because the Commission judged Inline XBRL tagging less useful for these intermediary-focused, largely non-public filings. The December 2024 rule's compliance dates were separately extended by twelve months by a September 2025 order.","source":"https://www.govinfo.gov/content/pkg/FR-2026-09-15/html/2026-18905.htm"},"purpose":{"text":"The FOCUS Report is the financial and operational return broker-dealers file so the SEC and self-regulatory organisations can monitor net capital, customer protection and business activity between examinations.","source":"https://www.govinfo.gov/content/pkg/CFR-2025-title17-vol4/html/CFR-2025-title17-vol4.htm"},"who_files":{"text":"Every broker or dealer registered under section 15 of the Exchange Act. Part I is filed by a broker-dealer that clears transactions or carries customer accounts. Part II is filed by that same group plus any broker-dealer that is also a registered security-based swap dealer or major security-based swap participant; a broker-dealer with a more limited business files Part IIA instead. Part III, the annual report, is filed by every registered broker-dealer, with narrow exemptions (for example a broker-dealer that deals only with other exchange members and carries no customer accounts).","source":"https://www.govinfo.gov/content/pkg/CFR-2025-title17-vol4/html/CFR-2025-title17-vol4.htm"},"frequency":{"value":"varies","text":"Part I is monthly. Part II and Part IIA are quarterly (and also as of the broker-dealer's fiscal year-end if that falls outside a calendar quarter). Part III, the annual report, is filed once a year.","source":"https://www.govinfo.gov/content/pkg/CFR-2025-title17-vol4/html/CFR-2025-title17-vol4.htm"},"deadline":{"text":"Part I is due within 10 business days after the end of each month. Part II and Part IIA are due within 17 business days after the end of each calendar quarter (and within 17 business days after the fiscal year-end where that differs). The Part III annual report is due not more than 60 calendar days after the end of the broker-dealer's fiscal year.","source":"https://www.govinfo.gov/content/pkg/CFR-2025-title17-vol4/html/CFR-2025-title17-vol4.htm"},"formats":{"values":["PDF","Other"],"text":"Parts I, II and IIA are filed with the Commission and the broker-dealer's designated examining authority; they are deemed confidential and this library did not confirm their electronic filing mechanism, because that detail sits on finra.org (eFOCUS/FINRA Gateway), whose terms of use restrict automated access. The Part III annual report must be filed electronically on EDGAR, following the EDGAR Filer Manual and Regulation S-T, and (since the December 2024 rule) as an Interactive Data File, though the September 2026 order exempted it from the Inline XBRL tagging requirement specifically.","source":"https://www.govinfo.gov/content/pkg/CFR-2025-title17-vol4/html/CFR-2025-title17-vol4.htm"},"legal_basis":[{"title":"17 CFR 240.17a-5 (Reports to be made by certain brokers and dealers)","url":"https://www.govinfo.gov/content/pkg/CFR-2025-title17-vol4/html/CFR-2025-title17-vol4.htm"},{"title":"Release 33-11342, Electronic Submission of Certain Material Under the Securities Exchange Act of 1934; Amendments Regarding the FOCUS Report (December 16, 2024)","url":"https://www.sec.gov/rules-regulations/2025/09/electronic-submission-certain-material-under-securities-exchange-act-1934-amendments-regarding-focus"},{"title":"Release 34-106339, Order granting exemptive relief from Inline XBRL requirements for Form X-17A-5 Part III and Form 17-H (September 11, 2026)","url":"https://www.govinfo.gov/content/pkg/FR-2026-09-15/html/2026-18905.htm"}],"templates":{"count":4,"items":[{"code":"Part I","name":"Routine monthly report"},{"code":"Part II","name":"Financial and operational report for carrying/clearing broker-dealers and security-based swap dealers/major participants"},{"code":"Part IIA","name":"Financial and operational report for broker-dealers with a more limited business"},{"code":"Part III","name":"Annual report: financial report, and a compliance report or exemption report, each covered by an independent public accountant's report"}],"note":"Read from 17 CFR 240.17a-5 itself; the form's own named sub-schedules (for example Schedule I, and the Part IIB/IIC variants for OTC derivatives dealers and bank-regulated security-based swap entities, listed on the SEC's Forms Index) were not itemised from an HTML page this session.","source":"https://www.govinfo.gov/content/pkg/CFR-2025-title17-vol4/html/CFR-2025-title17-vol4.htm"},"documents":["form-x17a5-part1-pdf","form-x17a5-part2-pdf","form-x17a5-part2a-pdf","form-x17a5-part3-pdf","form-x17a5-schedi-pdf","rule-focus-modernization-landing","rule-33-11342-fact-sheet-pdf","govinfo-fr-17h-xbrl-exemption"],"validation_rules":{"published":false,"count":null,"where":null,"machine_readable":false,"note":"No published catalogue of FOCUS Report edit checks was found on an sec.gov page; any such detail for the eFOCUS filing system sits behind FINRA's restricted website terms.","source":"https://www.govinfo.gov/content/pkg/CFR-2025-title17-vol4/html/CFR-2025-title17-vol4.htm"},"public_data":{"level":"firm-level","text":"Parts I, II and IIA are deemed confidential by rule. The Part III annual report may be filed as one public document, or split into a public Statement of Financial Condition (with its notes and the accountant's report on it) plus a second, confidential document covering the rest; the confidential portion remains available to the Commission, the designated examining authority, other SROs the broker-dealer belongs to, PCAOB and anyone else the Commission authorises.","source":"https://www.govinfo.gov/content/pkg/CFR-2025-title17-vol4/html/CFR-2025-title17-vol4.htm"},"sources":["https://www.govinfo.gov/content/pkg/CFR-2025-title17-vol4/html/CFR-2025-title17-vol4.htm","https://www.sec.gov/rules-regulations/2025/09/electronic-submission-certain-material-under-securities-exchange-act-1934-amendments-regarding-focus","https://www.govinfo.gov/content/pkg/FR-2026-09-15/html/2026-18905.htm","https://www.sec.gov/data-research/structured-data/inline-xbrl","https://www.sec.gov/submit-filings/forms-index"]},{"id":"form-bd","code":"Form BD","name":"Broker-dealer registration","official_name":"Form BD: Uniform Application for Broker-Dealer Registration","group":"Broker-dealers","status":"in force","purpose":{"text":"Form BD is the uniform application a firm files to register as a broker-dealer with the SEC, the self-regulatory organisations it will belong to, and the states where it will do business.","source":"https://www.sec.gov/answers/brkrdlr.htm"},"who_files":{"text":"Every firm applying to register as a broker-dealer under section 15(b) of the Securities Exchange Act of 1934. A bank registering only as a municipal securities dealer files Form MSD directly with the SEC instead.","source":"https://www.sec.gov/answers/brkrdlr.htm"},"frequency":{"value":"event-driven","text":"Filed once to register, then amended whenever the firm's information on file becomes inaccurate or incomplete.","source":"https://www.sec.gov/answers/brkrdlr.htm"},"deadline":{"text":"The SEC must, within 45 days of a complete application being filed, either grant registration or begin proceedings to determine whether it should deny registration. The SEC does not state a fixed number of days for filing an amendment; a broker-dealer must 'promptly' update Form BD when its information changes.","source":"https://www.sec.gov/answers/brkrdlr.htm"},"formats":{"values":["Web form"],"text":"Filed through the Central Registration Depository (CRD), the FINRA-operated system used for broker-dealer registration.","source":"https://www.sec.gov/answers/brkrdlr.htm"},"legal_basis":[{"title":"Section 15(b) of the Securities Exchange Act of 1934","url":"https://www.sec.gov/answers/brkrdlr.htm"}],"templates":{"count":0,"items":[],"note":"No current sec.gov page describing Form BD's own numbered items (as opposed to the registration process) was found this session, so no breakdown is given here.","source":"https://www.sec.gov/answers/brkrdlr.htm"},"documents":["form-bd-pdf","sec-brkrdlr-page"],"validation_rules":{"published":false,"count":null,"where":null,"machine_readable":false,"note":"No published catalogue of Form BD edit checks was found on sec.gov.","source":"https://www.sec.gov/answers/brkrdlr.htm"},"public_data":{"level":"none found","text":"Form BD information is held in FINRA's CRD system. Whether SEC.gov itself publishes Form BD data, as against FINRA's own BrokerCheck (a different site, whose terms of use restrict automated access and which this library did not read), was not confirmed this session.","source":"https://www.sec.gov/answers/brkrdlr.htm"},"sources":["https://www.sec.gov/answers/brkrdlr.htm","https://www.sec.gov/submit-filings/forms-index"]},{"id":"form-17-h","code":"Form 17-H","name":"Broker-dealer risk assessment report","official_name":"Form 17-H: Risk Assessment Report for Brokers and Dealers","group":"Broker-dealers","status":"in force","status_note":{"text":"Item 4 of Form 17-H was, with the Part III annual report of Form X-17A-5, exempted from the Inline XBRL tagging requirement by a Commission order of 11 September 2026 (Release 34-106339); the underlying EDGAR/electronic-filing requirement from the December 2024 rule (Release 33-11342) still applies.","source":"https://www.govinfo.gov/content/pkg/FR-2026-09-15/html/2026-18905.htm"},"purpose":{"text":"Form 17-H lets the SEC monitor a broker-dealer's wider corporate group for the kind of financial difficulty that can spread from an affiliate or holding company to the broker-dealer itself; the Risk Assessment Program it supports was created after the 1990 collapse of Drexel Burnham Lambert.","source":"https://www.sec.gov/about/divisions-offices/division-trading-markets/broker-dealers/division-trading-markets-office-broker-dealer-finances"},"who_files":{"text":"Generally, a broker-dealer that is part of a holding company structure and either holds customer funds or securities, or has Regulatory Capital (equity plus subordinated debt) of more than $20 million. A broker-dealer with Regulatory Capital under $250,000, or one that trades solely in mutual funds, is exempt.","source":"https://www.sec.gov/about/divisions-offices/division-trading-markets/broker-dealers/division-trading-markets-office-broker-dealer-finances"},"frequency":{"value":"quarterly","text":"Quarterly.","source":"https://www.govinfo.gov/content/pkg/CFR-2025-title17-vol4/html/CFR-2025-title17-vol4.htm"},"deadline":{"text":"Within 60 calendar days after the end of each fiscal quarter; the fourth-quarter report is also due within 60 calendar days of the fiscal year-end, and the cumulative year-end financial statements may instead be filed separately within 105 calendar days of the fiscal year-end.","source":"https://www.govinfo.gov/content/pkg/CFR-2025-title17-vol4/html/CFR-2025-title17-vol4.htm"},"formats":{"values":["PDF","Other"],"text":"Must be filed with the Commission electronically on EDGAR, following the EDGAR Filer Manual and Regulation S-T, and as an Interactive Data File; a September 2026 Commission order exempted Item 4 of the form from the Inline XBRL tagging part of that requirement specifically.","source":"https://www.govinfo.gov/content/pkg/CFR-2025-title17-vol4/html/CFR-2025-title17-vol4.htm"},"legal_basis":[{"title":"17 CFR 240.17h-2T (Risk assessment reporting requirements for brokers and dealers)","url":"https://www.govinfo.gov/content/pkg/CFR-2025-title17-vol4/html/CFR-2025-title17-vol4.htm"}],"templates":{"count":0,"items":[],"note":"Form 17-H's required content (an organisational chart, risk management policy information, consolidating and consolidated financial statements, and securities/financial-product position data for each Material Associated Person) is described on an SEC office page in prose, not as a numbered list of named parts, so no breakdown is given here.","source":"https://www.sec.gov/about/divisions-offices/division-trading-markets/broker-dealers/division-trading-markets-office-broker-dealer-finances"},"documents":["form-17h-pdf","sec-broker-dealer-finances-office","govinfo-fr-17h-xbrl-exemption"],"validation_rules":{"published":false,"count":null,"where":null,"machine_readable":false,"note":"No published catalogue of Form 17-H edit checks was found on sec.gov.","source":"https://www.sec.gov/about/divisions-offices/division-trading-markets/broker-dealers/division-trading-markets-office-broker-dealer-finances"},"public_data":{"level":"none found","text":"Form 17-H is not public. A September 2026 Commission order states that 'the entirety of Form 17-H' is non-public, citing 17 CFR 240.17h-2T(e).","source":"https://www.govinfo.gov/content/pkg/FR-2026-09-15/html/2026-18905.htm"},"sources":["https://www.sec.gov/about/divisions-offices/division-trading-markets/broker-dealers/division-trading-markets-office-broker-dealer-finances","https://www.govinfo.gov/content/pkg/CFR-2025-title17-vol4/html/CFR-2025-title17-vol4.htm","https://www.govinfo.gov/content/pkg/FR-2026-09-15/html/2026-18905.htm","https://www.sec.gov/submit-filings/forms-index"]},{"id":"form-sbse","code":"Form SBSE","name":"Security-based swap dealer and major participant registration","official_name":"Form SBSE: Application for Registration as either a Security-Based Swap Dealer or Major Security-Based Swap Participant","group":"Security-based swaps","status":"in force","purpose":{"text":"Form SBSE (and its variants SBSE-A and SBSE-BD) is the application a firm files to register with the SEC as a security-based swap dealer or a major security-based swap participant, so the Commission can oversee security-based swap market participants broadly as it oversees broker-dealers.","source":"https://www.govinfo.gov/content/pkg/CFR-2025-title17-vol5/html/CFR-2025-title17-vol5.htm"},"who_files":{"text":"An entity applying to register as a security-based swap dealer or major security-based swap participant files Form SBSE, unless it is also registered or registering with the SEC as a broker-dealer (it then files Form SBSE-BD) or already registered or registering with the CFTC as a swap dealer or major swap participant (it then files Form SBSE-A). Every applicant also files the senior officer's certification on Form SBSE-C.","source":"https://www.govinfo.gov/content/pkg/CFR-2025-title17-vol5/html/CFR-2025-title17-vol5.htm"},"frequency":{"value":"event-driven","text":"Filed once to register, then amended whenever the information on file becomes inaccurate or incomplete.","source":"https://www.govinfo.gov/content/pkg/CFR-2025-title17-vol5/html/CFR-2025-title17-vol5.htm"},"deadline":{"text":"An application is considered filed once a complete Form SBSE-C and a complete Form SBSE, SBSE-A or SBSE-BD (as applicable) have been submitted electronically, together with any other required documents; no further fixed number of days for the initial filing is stated. Amendments must be filed promptly when information becomes inaccurate or incomplete.","source":"https://www.govinfo.gov/content/pkg/CFR-2025-title17-vol5/html/CFR-2025-title17-vol5.htm"},"formats":{"values":["PDF"],"text":"Filed and amended electronically through EDGAR, following the EDGAR Filer Manual; the forms themselves are fillable PDF documents attached to the EDGAR submission (confirmed by fetching an actual filed SBSE-BD on EDGAR, which is served as a PDF).","source":"https://www.govinfo.gov/content/pkg/CFR-2025-title17-vol5/html/CFR-2025-title17-vol5.htm"},"legal_basis":[{"title":"Section 15F(b) of the Securities Exchange Act of 1934 and 17 CFR 240.15Fb2-1 (Registration of security-based swap dealers and major security-based swap participants)","url":"https://www.govinfo.gov/content/pkg/CFR-2025-title17-vol5/html/CFR-2025-title17-vol5.htm"}],"templates":{"count":4,"items":[{"code":"Form SBSE","name":"Application for an entity not also registering as a broker-dealer or with the CFTC"},{"code":"Form SBSE-A","name":"Application for an entity also registered or registering with the CFTC as a swap dealer or major swap participant"},{"code":"Form SBSE-BD","name":"Application for an entity also registered as a broker-dealer"},{"code":"Form SBSE-C","name":"Senior officer certification filed with every application"}],"note":"Read from 17 CFR 240.15Fb2-1; the schedules within each form (A, B, D, E, F, mentioned by some secondary sources) were not confirmed from an HTML page this session.","source":"https://www.govinfo.gov/content/pkg/CFR-2025-title17-vol5/html/CFR-2025-title17-vol5.htm"},"documents":["form-sbse-pdf","form-sbse-a-pdf","form-sbse-bd-pdf","form-sbse-c-pdf"],"validation_rules":{"published":false,"count":null,"where":null,"machine_readable":false,"note":"No published catalogue of Form SBSE edit checks was found on sec.gov.","source":"https://www.govinfo.gov/content/pkg/CFR-2025-title17-vol5/html/CFR-2025-title17-vol5.htm"},"public_data":{"level":"firm-level","text":"SBSE filings are made through EDGAR and are public: this library fetched one filed Form SBSE-BD directly from the EDGAR archive without any login (a 2025 filing by a named security-based swap dealer), confirming it is openly accessible, like other EDGAR filings.","url":"https://www.sec.gov/edgar/search/","source":"https://www.sec.gov/edgar/search/"},"sources":["https://www.govinfo.gov/content/pkg/CFR-2025-title17-vol5/html/CFR-2025-title17-vol5.htm","https://www.sec.gov/edgar/search/","https://www.sec.gov/submit-filings/forms-index"]},{"id":"form-1-k","code":"Form 1-K","name":"Regulation A annual report","official_name":"Form 1-K: Annual Reports and Special Financial Reports","group":"Capital formation","status":"in force","status_note":{"text":"The brief for this round asked whether the correct name for the Regulation A annual report is Form 1-A or Form 1-K. Form 1-A is the Regulation A offering statement itself (filed before an offering), not the annual report; the SEC's own Forms Index and its Regulation A guidance for issuers both confirm the annual report is Form 1-K.","source":"https://www.sec.gov/submit-filings/forms-index"},"purpose":{"text":"Form 1-K is the annual report a Tier 2 Regulation A issuer files to keep investors and the SEC supplied with current information after its offering: it updates information from Part I of Form 1-A, and covers the issuer's business for the preceding three fiscal years (or less if the issuer has existed for less time), related-party transactions, beneficial ownership, officers and directors (including some executive compensation), management's discussion and analysis, and two years of audited financial statements.","source":"https://www.sec.gov/resources-small-businesses/small-business-compliance-guides/regulation-guidance-issuers"},"who_files":{"text":"An issuer that has completed a Tier 2 offering under Regulation A, for the fiscal year in which its offering statement was qualified and every fiscal year after, unless its reporting obligation has been suspended or terminated.","source":"https://www.govinfo.gov/content/pkg/CFR-2025-title17-vol3/html/CFR-2025-title17-vol3.htm"},"frequency":{"value":"annual","text":"Annually; Form 1-K is also used, as a one-off, for a special financial report when the issuer's offering statement did not already contain the audited financial statements Regulation A requires.","source":"https://www.govinfo.gov/content/pkg/CFR-2025-title17-vol3/html/CFR-2025-title17-vol3.htm"},"deadline":{"text":"Within 120 calendar days of the issuer's fiscal year end; a special financial report under this cover is due within 120 calendar days of the qualification date of the offering statement.","source":"https://www.sec.gov/resources-small-businesses/small-business-compliance-guides/regulation-guidance-issuers"},"formats":{"values":["Other"],"text":"Filed electronically on EDGAR, as text/HTML document attachments; no Inline XBRL or other structured-data requirement for Form 1-K was found.","source":"https://www.sec.gov/resources-small-businesses/small-business-compliance-guides/regulation-guidance-issuers"},"legal_basis":[{"title":"17 CFR 230.257(b) (Periodic and current reporting; exit report)","url":"https://www.govinfo.gov/content/pkg/CFR-2025-title17-vol3/html/CFR-2025-title17-vol3.htm"}],"templates":{"count":0,"items":[],"note":"Form 1-K's content is described in prose by the SEC's own Regulation A guidance for issuers (see purpose), not as a numbered list of named parts, so no breakdown is given here.","source":"https://www.sec.gov/resources-small-businesses/small-business-compliance-guides/regulation-guidance-issuers"},"documents":["form-1-k-pdf","sec-rega-guidance-page"],"validation_rules":{"published":false,"count":null,"where":null,"machine_readable":false,"note":"No published catalogue of Form 1-K edit checks was found on sec.gov.","source":"https://www.sec.gov/resources-small-businesses/small-business-compliance-guides/regulation-guidance-issuers"},"public_data":{"level":"firm-level","text":"Form 1-K annual reports are filed on EDGAR and are public, like other Regulation A filings.","url":"https://www.sec.gov/edgar/search/","source":"https://www.sec.gov/edgar/search/"},"sources":["https://www.sec.gov/resources-small-businesses/small-business-compliance-guides/regulation-guidance-issuers","https://www.govinfo.gov/content/pkg/CFR-2025-title17-vol3/html/CFR-2025-title17-vol3.htm","https://www.sec.gov/submit-filings/forms-index"]},{"id":"edgar-xbrl-periodic-reports","code":"Inline XBRL (10-K, 10-Q, 8-K, 20-F, 40-F)","name":"EDGAR XBRL financial data in issuer periodic and current reports","group":"Issuer financial reporting","status":"in force","purpose":{"text":"Operating companies and foreign private issuers must tag their cover page and financial statement information (including footnotes, schedules and, in annual reports, auditor information) in Inline XBRL, inside the same document as the rest of the filing, so the figures can be read by software as well as by people; a June 2018 rule (Release 33-10514) phased this requirement in. This library treats the periodic and current reports that carry this data (Forms 10-K, 10-Q, 8-K for domestic filers, and Forms 20-F and 40-F for foreign private issuers) as one return rather than several near-duplicate ones.","source":"https://www.sec.gov/data-research/structured-data/inline-xbrl"},"who_files":{"text":"Domestic registrants filing annual reports on Form 10-K, quarterly reports on Form 10-Q, or current reports on Form 8-K (cover page and any revised financial statements); foreign private issuers filing annual reports on Form 20-F or Form 40-F (cover page and financial statements), and, for revised financial statements, Form 6-K.","source":"https://www.sec.gov/data-research/structured-data/inline-xbrl"},"frequency":{"value":"varies","text":"Annual for Form 10-K, Form 20-F and Form 40-F; quarterly for Form 10-Q; event-driven for Form 8-K and Form 6-K, filed whenever the underlying report is filed.","source":"https://www.sec.gov/data-research/structured-data/inline-xbrl"},"deadline":{"text":"Not a separate deadline: the Inline XBRL data is filed as part of the same submission as the underlying form, so it follows that form's own filing deadline, which is set elsewhere in the Exchange Act rules and not covered in this entry.","source":"https://www.sec.gov/data-research/structured-data/inline-xbrl"},"formats":{"values":["iXBRL"],"text":"Filed as an Inline XBRL (EX-101-type) attachment inside the EDGAR submission itself. A domestic filer tags using the US GAAP Financial Statement Taxonomy (maintained by FASB) together with the SEC's own DEI (Document and Entity Information), Country, Currency, Exchange, NAICS, SIC and STPR taxonomies; a foreign private issuer that reports under IFRS instead uses the IFRS Taxonomy (plus DEI and the other SEC taxonomies), while one that reports under US GAAP uses the US GAAP taxonomy like a domestic filer.","source":"https://www.sec.gov/data-research/structured-data/taxonomies-schemas/standard-taxonomies/operating-companies"},"legal_basis":[{"title":"Release 33-10514, Inline XBRL Filing of Tagged Data (June 28, 2018)","url":"https://www.sec.gov/rule-release/33-10514"}],"templates":{"count":0,"items":[],"note":"Not a form with its own schedules: Inline XBRL tags the cover page and financial statements of whichever underlying periodic or current report is filed, so no breakdown is given here.","source":"https://www.sec.gov/data-research/structured-data/inline-xbrl"},"documents":["sec-inline-xbrl-page","sec-operating-companies-taxonomies","rule-33-10514-pdf","rule-33-10514-landing","sec-edgar-filer-manual-vol1","sec-edgar-filer-manual-vol2","sec-edgar-filer-manual-vol2-c6"],"validation_rules":{"published":true,"count":null,"count_basis":"Not counted here.","where":"https://www.sec.gov/files/edgar/filermanual/edgarfm-vol2-v78.pdf","machine_readable":true,"rule_format":"EDGAR validates every Inline XBRL submission against the relevant year's SEC and FASB taxonomy files (schema and calculation/definition linkbases) and the rules in Chapter 6 of the EDGAR Filer Manual, Volume II, and the separate EDGAR XBRL Guide.","note":"The exact number of validation rules was not counted from an HTML page this session; the Filer Manual's own Interactive Data chapter is only 64 KB, which suggests the detailed technical rules live mainly in the separate EDGAR XBRL Guide rather than in the Filer Manual itself.","source":"https://www.sec.gov/files/edgar/filermanual/efmvol2-c6.pdf"},"public_data":{"level":"firm-level","text":"Every periodic and current report, with its Inline XBRL data, is public on EDGAR as soon as filed, and searchable through EDGAR Full Text Search.","url":"https://www.sec.gov/edgar/search/","source":"https://www.sec.gov/edgar/search/"},"sources":["https://www.sec.gov/data-research/structured-data/inline-xbrl","https://www.sec.gov/data-research/structured-data/taxonomies-schemas/standard-taxonomies/operating-companies","https://www.sec.gov/rule-release/33-10514","https://www.sec.gov/submit-filings/edgar-filer-manual","https://www.sec.gov/edgar/search/"]}],"documents":[{"id":"sec-forms-index","title":"SEC.gov Forms Index","url":"https://www.sec.gov/submit-filings/forms-index","role":"list of returns","file_type":"html","downloadable":true,"size_bytes":null,"sha256":null,"date":null,"note":"161 forms across 7 pages, read 2026-11-13: page 1 gave Form 1-K (SEC2913, Feb 2025), Form 13F (SEC1685, July 2023) and Form 17-H (SEC2332, Jan 2010); page 2 gave Form ADV, Form ADV-W, Form 20-F, Form 40-F and Form 8-K; page 3 gave Form BD and Form BD-N; page 5 gave Form N-CEN, Form N-MFP, Form N-PORT and Form PF; page 6 gave the Form SBSE family; page 7 gave the Form X-17A-5 parts and Schedule I."},{"id":"sec-submit-filings","title":"SEC.gov Submit Filings","url":"https://www.sec.gov/submit-filings","role":"other","file_type":"html","downloadable":true,"size_bytes":null,"sha256":null,"date":null,"note":"Describes EDGAR's three portals, the EDGAR Filer Manual, the Forms Index and Technical Specifications, and EDGAR's operating hours."},{"id":"sec-mission","title":"SEC.gov Mission","url":"https://www.sec.gov/about/mission","role":"other","file_type":"html","downloadable":true,"size_bytes":null,"sha256":null,"date":"2023-08-09","note":"The SEC's own three-part mission statement, used for regulator.what_it_does."},{"id":"sec-edgar-filer-manual-vol1","title":"EDGAR Filer Manual, Volume I: General Information (Version 43)","url":"https://www.sec.gov/files/edgar/filer-information/edgarfm-vol1-v43.pdf","role":"instructions","file_type":"pdf","downloadable":true,"size_bytes":381999,"sha256":"1abb4c0faf4ce9261fddc147fb2cf28ffe4ba434b0cc7420707c0d001511aeb7","date":"2026-03-19","note":"Requirements for becoming and staying an EDGAR filer."},{"id":"sec-edgar-filer-manual-vol2","title":"EDGAR Filer Manual, Volume II: EDGAR Filing (Version 78)","url":"https://www.sec.gov/files/edgar/filermanual/edgarfm-vol2-v78.pdf","role":"instructions","file_type":"pdf","downloadable":true,"size_bytes":5187531,"sha256":"816bbe2b5d2677ddc94e6199b446a8a856a54596704021a7b9ff592c0bc26cf3","date":"2026-09-14","note":"Matches EDGAR Release 26.3 (Sept 14, 2026), named on the Submit Filings page."},{"id":"sec-edgar-filer-manual-vol2-c6","title":"EDGAR Filer Manual Vol II, Chapter 6: Interactive Data","url":"https://www.sec.gov/files/edgar/filermanual/efmvol2-c6.pdf","role":"instructions","file_type":"pdf","downloadable":true,"size_bytes":64325,"sha256":"dd58a37f9e7758ba3d48fae978f12b7b6b31245495ffeaa8fc6ba4f4fc9aa470","date":"2026-09-14","note":"The chapter of the Filer Manual covering Inline XBRL/interactive data submissions; only 64 KB, so most detailed XBRL validation rules live in the separate EDGAR XBRL Guide, not fetched here."},{"id":"sec-inline-xbrl-page","title":"SEC.gov Inline XBRL","url":"https://www.sec.gov/data-research/structured-data/inline-xbrl","role":"guidance","file_type":"html","downloadable":true,"size_bytes":null,"sha256":null,"date":"2025-01-17","note":"Lists, by filer group (operating companies, funds, self-regulatory organisations, security-based swap entities and execution facilities, broker-dealers), exactly which filings must use Inline XBRL and every rule release that put that requirement in place; the source for the Form 17-H/X-17A-5 Inline XBRL point before the September 2026 exemption."},{"id":"sec-operating-companies-taxonomies","title":"SEC.gov Standard Taxonomies: Operating Companies","url":"https://www.sec.gov/data-research/structured-data/taxonomies-schemas/standard-taxonomies/operating-companies","role":"taxonomy","file_type":"html","downloadable":true,"size_bytes":null,"sha256":null,"date":"2026-03-16","note":"Lists the EDGAR submission types that may carry Inline XBRL (10-K, 10-Q, 8-K, 20-F, 40-F, 6-K, S-1 and others) and the taxonomy releases (US GAAP, IFRS, DEI, CYD, ECD, FFD, RXP, SPAC) each may or must use."},{"id":"rule-33-10514-pdf","title":"Release 33-10514, Inline XBRL Filing of Tagged Data","url":"https://www.sec.gov/files/rules/final/2018/33-10514.pdf","role":"legal text","file_type":"pdf","downloadable":true,"size_bytes":714610,"sha256":"5c5f0227d94b2576894f267b7a78ad9355f4b32690badf0f258445c5bfbbb224","date":null,"note":"Adopted June 28, 2018. Server gave no usable Last-Modified date for this PDF."},{"id":"rule-33-10514-landing","title":"SEC.gov rule-release page for 33-10514","url":"https://www.sec.gov/rule-release/33-10514","role":"legal text","file_type":"html","downloadable":true,"size_bytes":null,"sha256":null,"date":null,"note":"Confirms the release's title and that it is current."},{"id":"sec-pfrd-page","title":"Electronic Filing of Form PF for Investment Advisers on PFRD","url":"https://www.sec.gov/divisions/investment/pfrd.shtml","role":"guidance","file_type":"html","downloadable":true,"size_bytes":null,"sha256":null,"date":"2012-09-13","note":"Names PFRD as a subsystem of IARD, gives the two ways to file Form PF, and the FINRA filing-fee schedule; last modified 2012 but still live."},{"id":"sec-iard-page","title":"Electronic Filing for Investment Advisers on IARD","url":"https://www.sec.gov/about/divisions-offices/division-investment-management/electronic-filing-investment-advisers-iard","role":"guidance","file_type":"html","downloadable":true,"size_bytes":null,"sha256":null,"date":"2017-10-11","note":"IARD system availability, the 90-day annual updating amendment deadline, IARD fee schedule by assets under management, and the Dodd-Frank $100 million SEC-registration threshold."},{"id":"sec-form-pf-faq","title":"Form PF Frequently Asked Questions","url":"https://www.sec.gov/rules-regulations/staff-guidance/division-investment-management-frequently-asked-questions/form-pf-faq","role":"guidance","file_type":"html","downloadable":true,"size_bytes":null,"sha256":null,"date":"2025-03-26","note":"Division of Investment Management staff FAQs; gives the 120-day annual, 60-day large-hedge-fund-quarterly and 72-hour current-report deadlines. Its 'October 1, 2025' compliance-date discussion is itself superseded by the later delay to July 1, 2027 confirmed on the rule landing page."},{"id":"rule-ia-6297-landing","title":"SEC.gov rule-regulations page for IA-6297","url":"https://www.sec.gov/rules-regulations/2023/05/ia-6297","role":"legal text","file_type":"html","downloadable":true,"size_bytes":null,"sha256":null,"date":"2025-05-15","note":"File Number S7-01-22. Confirms IA-6297's title, May 3, 2023 issue date and June 11, 2024 effective date."},{"id":"rule-ia-6297-pdf","title":"Release IA-6297, Form PF; Event Reporting for Large Hedge Fund Advisers and Private Equity Fund Advisers","url":"https://www.sec.gov/files/rules/final/2023/ia-6297.pdf","role":"legal text","file_type":"pdf","downloadable":true,"size_bytes":2091747,"sha256":"d726d05a1cfc1670f13b7404139b6e86f8b339c5b3a369dce973a3a332900d84","date":null,"note":"Server gave no usable Last-Modified date for this PDF."},{"id":"rule-pf-2024-amendments-landing","title":"SEC.gov rule-regulations page for Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers (S7-22-22)","url":"https://www.sec.gov/rules-regulations/2026/08/s7-22-22","role":"legal text","file_type":"html","downloadable":true,"size_bytes":null,"sha256":null,"date":"2026-08-31","note":"Current release shown is IA-6992 (issued August 31, 2026, effective September 3, 2026), which states the compliance date for the Form PF amendments adopted February 8, 2024 (IA-6546, codified March 12, 2024 at 89 FR 17984) is delayed, after three earlier delays, until July 1, 2027."},{"id":"rule-ia-6546-pdf","title":"Release IA-6546, Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers","url":"https://www.sec.gov/files/rules/final/2024/ia-6546.pdf","role":"legal text","file_type":"pdf","downloadable":true,"size_bytes":2989021,"sha256":"81c8f026e3adbb3589cad9485d3473c7d3327cb256ece228f56bda2c6e584aab","date":"2024-03-12","note":"Adopted February 8, 2024; its compliance date is the one repeatedly delayed, now to July 1, 2027."},{"id":"rule-ia-6992-pdf","title":"Release IA-6992, Form PF compliance-date delay","url":"https://www.sec.gov/files/rules/final/2026/ia-6992.pdf","role":"legal text","file_type":"pdf","downloadable":true,"size_bytes":242094,"sha256":"9e5eeadd3237414824848cd9d394c86b6a42328a305257af9549eb6e0e939b92","date":"2026-09-04","note":"The fourth and latest delay (to July 1, 2027) of the 2024 Form PF amendments' compliance date."},{"id":"form-pf-pdf","title":"Form PF (reference copy)","url":"https://www.sec.gov/files/formpf.pdf","role":"template","file_type":"pdf","downloadable":true,"size_bytes":1330680,"sha256":"f68b9290b7c38b2c625ea6ecca218c6ad5f1eed14a6e547074540e8cd0110f85","date":"2025-04-17","note":"Reference copy only, size and hash recorded; filing is online at the PFRD, not by sending this PDF. This is the pre-2024-amendment version still in force, per the compliance-date delay to July 1, 2027."},{"id":"sec-13f-faq","title":"Frequently Asked Questions About Form 13F","url":"https://www.sec.gov/rules-regulations/staff-guidance/frequently-asked-questions-about-form-13f","role":"guidance","file_type":"html","downloadable":true,"size_bytes":null,"sha256":null,"date":"2026-03-06","note":"Division staff FAQ; source for the $100 million threshold, the 45-day deadline, mandatory EDGAR filing since 1999 and the 2023 confidential-treatment amendments."},{"id":"form-13f-pdf","title":"Form 13F (reference copy)","url":"https://www.sec.gov/files/form13f.pdf","role":"template","file_type":"pdf","downloadable":true,"size_bytes":243351,"sha256":"ba6065b13267d105fd49f7a47eb24962ad4755cd2dee8d445331432ab1e4ed42","date":"2026-02-13","note":"Reference copy only, size and hash recorded."},{"id":"sec-regia-page","title":"How To Register as an Investment Adviser","url":"https://www.sec.gov/divisions/investment/iaregulation/regia.htm","role":"guidance","file_type":"html","downloadable":true,"size_bytes":null,"sha256":null,"date":"2005-06-23","note":"Legacy (2005) Division of Investment Management page; its filing-mechanics detail (paper to 100 F Street) is superseded by electronic IARD filing, but it is the only sec.gov page found this session that describes Form ADV's own Part I/Part II structure and the 45-day SEC review period for an initial application."},{"id":"form-adv-pdf","title":"Form ADV (reference copy)","url":"https://www.sec.gov/files/formadv.pdf","role":"template","file_type":"pdf","downloadable":true,"size_bytes":139419,"sha256":"660596676ff8c4d1cfb8ab16b283fe4386b2bc9ec0df9ccfaabff0d960d65325","date":"2024-07-09","note":"Reference copy only, size and hash recorded; filing is online through IARD."},{"id":"form-adv-w-pdf","title":"Form ADV-W (reference copy)","url":"https://www.sec.gov/files/formadv-w.pdf","role":"template","file_type":"pdf","downloadable":true,"size_bytes":260841,"sha256":"e7a8daf7f8547af52049900b8f518d56bcb901b6cd834b1336e08f0668887d22","date":"2026-08-26","note":"Reference copy only, size and hash recorded."},{"id":"sec-adviserinfo-iapd","title":"IAPD - Investment Adviser Public Disclosure","url":"https://adviserinfo.sec.gov/","role":"other","file_type":"html","downloadable":true,"size_bytes":null,"sha256":null,"date":null,"note":"A JavaScript single-page application; confirmed live (HTTP 200) but its content was not read beyond the page shell."},{"id":"sec-foia-invfoia","title":"Frequently Requested FOIA Document: Information About Registered Investment Advisers","url":"https://www.sec.gov/foia/docs/invfoia.htm","role":"data dictionary","file_type":"html","downloadable":true,"size_bytes":null,"sha256":null,"date":"2003-10-14","note":"Describes the field layout of the SEC's registered-investment-adviser FOIA data file and points to IAPD for the current record. Dated 2003; kept as evidence that a non-IAPD public data file exists, not as a current description of IAPD itself."},{"id":"form-x17a5-part1-pdf","title":"Form X-17A-5 Part I (reference copy)","url":"https://www.sec.gov/files/formx-17a-5_1.pdf","role":"template","file_type":"pdf","downloadable":true,"size_bytes":293788,"sha256":"5f2d933cab416706bb3d07850afe3a9661450d79d9494cc7ee71e5c21bfb1ac1","date":"2023-12-01","note":"Reference copy only, size and hash recorded."},{"id":"form-x17a5-part2-pdf","title":"Form X-17A-5 Part II (reference copy)","url":"https://www.sec.gov/files/formx-17a-5_2.pdf","role":"template","file_type":"pdf","downloadable":true,"size_bytes":951872,"sha256":"747fb703a7e83d60a0b53a9eb02b8bfa6a84477751811081f4c5e84dee0082cb","date":"2026-03-02","note":"Reference copy only, size and hash recorded."},{"id":"form-x17a5-part2a-pdf","title":"Form X-17A-5 Part IIA (reference copy)","url":"https://www.sec.gov/files/formx-17a-5_2f.pdf","role":"template","file_type":"pdf","downloadable":true,"size_bytes":212469,"sha256":"7e1fdcd27cd8a05111a51303d12c8711861a02bce855e501e30a5498cbc6abc2","date":"2026-06-25","note":"Reference copy only, size and hash recorded; the SEC's own Forms Index lists this form under the code 'X-17A-5 Part IIA' alongside a separate instructions PDF."},{"id":"form-x17a5-part3-pdf","title":"Form X-17A-5 Part III (reference copy)","url":"https://www.sec.gov/files/formx-17a-5_3.pdf","role":"template","file_type":"pdf","downloadable":true,"size_bytes":391288,"sha256":"f17dbb590f9860acaed98746c828d9fbcb76301cc3a311af539aab60b5a0f70e","date":"2025-08-05","note":"Reference copy only, size and hash recorded; this is the annual report cover page/facing page form."},{"id":"form-x17a5-schedi-pdf","title":"Form X-17A-5 Schedule I (reference copy)","url":"https://www.sec.gov/files/formx-17a-5_schedi.pdf","role":"template","file_type":"pdf","downloadable":true,"size_bytes":109577,"sha256":"ef675140c6c5a1210c4347534702cea18214a14f80f9efd60f1e4551a11416ff","date":"2024-01-04","note":"Reference copy only, size and hash recorded; the SEC's Forms Index titles this one generically ('Information Required of All Brokers and Dealers Pursuant to Rule 17a-5'), so its exact relationship to Schedule I as described in 17 CFR 240.17a-5 was not independently confirmed from an HTML page."},{"id":"rule-focus-modernization-landing","title":"SEC.gov rule-regulations page: Electronic Submission of Certain Material Under the Securities Exchange Act of 1934; Amendments Regarding the FOCUS Report","url":"https://www.sec.gov/rules-regulations/2025/09/electronic-submission-certain-material-under-securities-exchange-act-1934-amendments-regarding-focus","role":"legal text","file_type":"html","downloadable":true,"size_bytes":null,"sha256":null,"date":"2025-09-08","note":"Current release shown is Release 33-11386 (issued September 8, 2025, effective September 10, 2025), extending by twelve months the compliance dates of the December 16, 2024 rule (Release 33-11342/34-101925/IC-35420, 90 FR 7250) that requires electronic EDGAR filing of the FOCUS Report annual report, Form 17-H Item 4, and related broker-dealer and security-based swap entity material."},{"id":"rule-33-11342-fact-sheet-pdf","title":"Fact Sheet, Release 33-11342 (Electronic Submission of Certain Material Under the Exchange Act; FOCUS Report Amendments)","url":"https://www.sec.gov/files/33-11342-fact-sheet.pdf","role":"guidance","file_type":"pdf","downloadable":true,"size_bytes":270290,"sha256":"8013b25a22a5a5837b90c291ae193f7040ba347b55238cd28b40d0b261e992b7","date":"2024-12-16","note":"Size and hash recorded only; not read as text."},{"id":"govinfo-fr-17h-xbrl-exemption","title":"Federal Register Notice 2026-18905: Order Granting Exemptive Relief ... From Inline XBRL Requirements for ... Form X-17A-5 Part III, Form 17-H, and Security-Based Swap Entity's Annual Compliance Report (Release 34-106339)","url":"https://www.govinfo.gov/content/pkg/FR-2026-09-15/html/2026-18905.htm","role":"legal text","file_type":"html","downloadable":true,"size_bytes":null,"sha256":null,"date":"2026-09-15","note":"Dated September 11, 2026, published in the Federal Register September 15, 2026 (91 FR 58490-58492). Exempts Form X-17A-5 Part III, Form 17-H Item 4, and some other intermediary filings from the Inline XBRL tagging requirement, while leaving the underlying EDGAR electronic-filing requirement in place; also states these filings are largely non-public."},{"id":"form-bd-pdf","title":"Form BD (reference copy)","url":"https://www.sec.gov/files/formbd.pdf","role":"template","file_type":"pdf","downloadable":true,"size_bytes":636477,"sha256":"2d8c8499c0f2811bb54a59fb9385fc62cc5d3343e3798d6a74cd731bfbf81a62","date":"2026-03-17","note":"Reference copy only, size and hash recorded; filing is through FINRA's CRD."},{"id":"sec-brkrdlr-page","title":"Broker-Dealer Registration: Where to File","url":"https://www.sec.gov/answers/brkrdlr.htm","role":"guidance","file_type":"html","downloadable":true,"size_bytes":null,"sha256":null,"date":"2013-07-25","note":"Legacy 'Fast Answers' page, still live; source for the CRD filing route, no SEC filing fee, and the 45-day SEC action deadline."},{"id":"sec-broker-dealer-finances-office","title":"Division of Trading and Markets, Office of Broker-Dealer Finances","url":"https://www.sec.gov/about/divisions-offices/division-trading-markets/broker-dealers/division-trading-markets-office-broker-dealer-finances","role":"guidance","file_type":"html","downloadable":true,"size_bytes":null,"sha256":null,"date":"2019-12-30","note":"Describes the Risk Assessment Program under section 17(h), its origin after the 1990 Drexel Burnham Lambert collapse, the $20 million/holding-company trigger and the $250,000 and mutual-fund-only exemptions, and Form 17-H's required content."},{"id":"form-17h-pdf","title":"Form 17-H (reference copy)","url":"https://www.sec.gov/files/form17-h.pdf","role":"template","file_type":"pdf","downloadable":true,"size_bytes":375303,"sha256":"8b2eb353e6d3c10cab78ea9192a3e9e920c54bd1f24d4a2c72758411427245ae","date":"2026-01-27","note":"Reference copy only, size and hash recorded."},{"id":"form-sbse-pdf","title":"Form SBSE (reference copy)","url":"https://www.sec.gov/files/form-sbse.pdf","role":"template","file_type":"pdf","downloadable":true,"size_bytes":2899751,"sha256":"5f4a118539c8ebad58d6ca44370dc56ee84e807664a551392044c1324e26bbf4","date":"2025-02-20","note":"Reference copy only, size and hash recorded; filing is electronic through EDGAR."},{"id":"form-sbse-a-pdf","title":"Form SBSE-A (reference copy)","url":"https://www.sec.gov/files/formsbsea.pdf","role":"template","file_type":"pdf","downloadable":true,"size_bytes":1131241,"sha256":"7bff0d9f4d1368068158a4d7e5583c9e25fca4d7d1099cea3d46b14f2d875cf9","date":"2025-02-20","note":"Reference copy only, size and hash recorded."},{"id":"form-sbse-bd-pdf","title":"Form SBSE-BD (reference copy)","url":"https://www.sec.gov/files/formsbse-bd.pdf","role":"template","file_type":"pdf","downloadable":true,"size_bytes":234587,"sha256":"c514113de3e674f54c3da052931b105b4350030f64bcbdd3eb8b7249b2486406","date":"2025-02-03","note":"Reference copy only, size and hash recorded."},{"id":"form-sbse-c-pdf","title":"Form SBSE-C (reference copy)","url":"https://www.sec.gov/files/formsbse-c.pdf","role":"template","file_type":"pdf","downloadable":true,"size_bytes":150535,"sha256":"05db2c850adec0930ee773068dc6e2105b15aafad2c321921ef76b921f18e3a9","date":"2025-02-03","note":"Reference copy only, size and hash recorded; the senior officer certification filed with every Form SBSE/SBSE-A/SBSE-BD application."},{"id":"sec-rega-guidance-page","title":"Regulation A: Guidance for Issuers","url":"https://www.sec.gov/resources-small-businesses/small-business-compliance-guides/regulation-guidance-issuers","role":"guidance","file_type":"html","downloadable":true,"size_bytes":null,"sha256":null,"date":"2024-10-10","note":"Division of Corporation Finance small business compliance guide; source for Form 1-K's content and the 120-day deadline, and for Form 1-A/1-K/1-SA naming."},{"id":"form-1-k-pdf","title":"Form 1-K (reference copy)","url":"https://www.sec.gov/files/form1-k.pdf","role":"template","file_type":"pdf","downloadable":true,"size_bytes":492782,"sha256":"74eac55a18cf942ce1fcc9e14318a94439367e17c7675bbc769664ead1c98970","date":"2025-06-02","note":"Reference copy only, size and hash recorded."},{"id":"sec-ic-reporting-modernization-faq","title":"Investment Company Reporting Modernization Frequently Asked Questions","url":"https://www.sec.gov/rules-regulations/staff-guidance/investment-company-reporting-modernization-frequently-asked-questions","role":"guidance","file_type":"html","downloadable":true,"size_bytes":null,"sha256":null,"date":"2021-04-21","note":"Division of Investment Management staff FAQ on the October 2016 Form N-PORT/N-CEN reforms and later amendments; source for the pre-2024-amendment compliance timeline, Form N-PORT's Part F (Exhibit F) exhibit, and Form N-MFP's continuation under rule 30b1-7. Its account of Form N-PORT's 60-day quarterly deadline is the pre-November-2025 regime, now superseded for the frequency and deadline facts here by the amended rule text."},{"id":"sec-press-release-2024-110","title":"SEC Adopts Reporting Enhancements for Registered Investment Companies and Provides Guidance on Open-End Fund Liquidity Risk Management Programs","url":"https://www.sec.gov/newsroom/press-releases/2024-110","role":"release note","file_type":"html","downloadable":true,"size_bytes":null,"sha256":null,"date":"2024-08-28","note":"Announces the move of Form N-PORT to true monthly filing (30 days after month-end) and monthly public dissemination (60 days after month-end), effective November 17, 2025 generally and May 18, 2026 for fund groups under $1 billion in net assets; also the Form N-CEN liquidity-risk-management service-provider items."},{"id":"sec-form-n-port-data-page","title":"Form N-PORT Data Sets","url":"https://www.sec.gov/data-research/sec-markets-data/form-n-port-data-sets","role":"data dictionary","file_type":"html","downloadable":true,"size_bytes":null,"sha256":null,"date":"2026-09-30","note":"Quarterly ZIP downloads from October 2019 to September 2026 (each roughly 230-690 MB), with the SEC's own who-files text (quoting rule 30b1-9) and disclaimer."},{"id":"form-n-port-readme-pdf","title":"Form N-PORT Data Sets readme","url":"https://www.sec.gov/files/nport_readme.pdf","role":"data dictionary","file_type":"pdf","downloadable":true,"size_bytes":456536,"sha256":"de57ff40cb670cd7781bc7712ddbb0014366a7a73ed3143a1bfcca29e0a35120","date":"2024-07-26","note":"Size and hash recorded only; not read as text."},{"id":"sec-form-n-mfp-data-page","title":"Form N-MFP Data Sets","url":"https://www.sec.gov/data-research/sec-markets-data/dera-form-n-mfp-data-sets","role":"data dictionary","file_type":"html","downloadable":true,"size_bytes":null,"sha256":null,"date":"2026-10-31","note":"Monthly (quarterly before 2022) ZIP downloads from September 2010 to October 2026, with the who-files/deadline text and disclaimer; notes the July 2025 addition of N-MFP3 submissions."},{"id":"form-n-mfp-readme-pdf","title":"Form N-MFP Data Sets readme","url":"https://www.sec.gov/files/nmfp_readme.pdf","role":"data dictionary","file_type":"pdf","downloadable":true,"size_bytes":393581,"sha256":"6f1b942f556785df7a28a0256269f7148a1361ed00c88c05d42c4c0bf48349bb","date":"2025-07-14","note":"Size and hash recorded only; not read as text."},{"id":"sec-form-n-cen-data-page","title":"Form N-CEN Data Sets","url":"https://www.sec.gov/data-research/sec-markets-data/form-n-cen-data-sets","role":"data dictionary","file_type":"html","downloadable":true,"size_bytes":null,"sha256":null,"date":"2026-09-30","note":"Quarterly ZIP downloads from September 2018 to September 2026, with the who-files text and disclaimer."},{"id":"form-n-cen-readme-pdf","title":"Form N-CEN Data Sets readme","url":"https://www.sec.gov/files/ncen_readme.pdf","role":"data dictionary","file_type":"pdf","downloadable":true,"size_bytes":1698735,"sha256":"91e155e5589b0076c49828fe71e8cce5f67be1e6d4c4d75b84ad648d27301324","date":"2023-06-02","note":"Size and hash recorded only; not read as text."},{"id":"form-n-cen-pdf","title":"Form N-CEN (reference copy)","url":"https://www.sec.gov/files/formn-cen.pdf","role":"template","file_type":"pdf","downloadable":true,"size_bytes":391925,"sha256":"515949a404552fcacf218aa8e16b0dc8bc0167f77acb68a4ab151b5fd7f2f659","date":"2026-02-20","note":"Reference copy only, size and hash recorded."},{"id":"form-n-mfp-pdf","title":"Form N-MFP (reference copy)","url":"https://www.sec.gov/files/formn-mfp.pdf","role":"template","file_type":"pdf","downloadable":true,"size_bytes":870444,"sha256":"f14aac3f81632ac766eecefcbfaa08e62b1597327d1127bb8e12d5798f06d60d","date":"2024-12-11","note":"Reference copy only, size and hash recorded."},{"id":"form-n-port-pdf","title":"Form N-PORT (reference copy)","url":"https://www.sec.gov/files/formn-port.pdf","role":"template","file_type":"pdf","downloadable":true,"size_bytes":283472,"sha256":"f953af594dee58522fc3e9fe92b9872aedce5e59a2a954281aa4fbb6d3ded2cf","date":"2024-12-03","note":"Reference copy only, size and hash recorded."},{"id":"govinfo-cfr-2025-title17-vol3","title":"Code of Federal Regulations, Title 17 (Commodity and Securities Exchanges), Volume 3: Parts 200 to 239 (April 1, 2025 annual edition)","url":"https://www.govinfo.gov/content/pkg/CFR-2025-title17-vol3/html/CFR-2025-title17-vol3.htm","role":"legal text","file_type":"html","downloadable":true,"size_bytes":null,"sha256":null,"date":"2025-04-01","note":"A single large HTML page for the whole volume. Relied on for 17 CFR 230.257 (Regulation A ongoing reporting, including the Form 1-K annual-report cross-reference)."},{"id":"govinfo-cfr-2025-title17-vol4","title":"Code of Federal Regulations, Title 17 (Commodity and Securities Exchanges), Volume 4: Parts 240 to 249 (April 1, 2025 annual edition)","url":"https://www.govinfo.gov/content/pkg/CFR-2025-title17-vol4/html/CFR-2025-title17-vol4.htm","role":"legal text","file_type":"html","downloadable":true,"size_bytes":null,"sha256":null,"date":"2025-04-01","note":"A single large HTML page for the whole volume (about 3.7 MB of text). Relied on for 17 CFR 240.17a-5 (FOCUS Report, including the Part I/II/IIA frequency and deadlines, the Part III annual report's 60-day deadline, and the public/confidential split of the annual report) and 17 CFR 240.17h-2T (Form 17-H's quarterly, 60-day deadline and its EDGAR/Interactive Data File filing requirement)."},{"id":"govinfo-cfr-2025-title17-vol5","title":"Code of Federal Regulations, Title 17 (Commodity and Securities Exchanges), Volume 5: Part 241 to End (April 1, 2025 annual edition)","url":"https://www.govinfo.gov/content/pkg/CFR-2025-title17-vol5/html/CFR-2025-title17-vol5.htm","role":"legal text","file_type":"html","downloadable":true,"size_bytes":null,"sha256":null,"date":"2025-04-01","note":"A single large HTML page for the whole volume (about 3.1 MB of text). Relied on for 17 CFR 270.30a-1 (Form N-CEN, 75-day deadline), 270.30b1-9 (Form N-PORT, both the pre- and post-November 2025 text, with its own 'Effective Date Notes'), 270.30b1-7 (Form N-MFP, fifth-business-day deadline), 275.204(b)-1 (Form PF, $150 million threshold and filing mechanics), 275.203A-1 (Form ADV, the $100m/$110m/$90m SEC-registration thresholds) and 240.15Fb2-1 (Form SBSE family, filed through EDGAR)."}]}]}