Learn how to aggregate separately managed accounts, handle discretion and voting differences, and avoid duplicate or account-by-account reporting.
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How to Complete the Investment Discretion Section of Form 13F
Learn when to use SOLE, DFND, or OTR in Column 6, when to split a holding into separate rows, and when Column 7 applies.
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How to Sign Up for EDGAR Next and Delegate Filing Authority
Create individual Login.gov credentials, obtain the correct filer role, and delegate filing authority through the current EDGAR Next process.
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How to Complete the EDGAR Annual Confirmation: A Step-by-Step Guide
EDGAR Next requires each filer to confirm its account details and authorized parties annually. Follow the SEC’s dashboard steps and understand the grace period…
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SEC Imposes $500,000 Penalty for Years of Missing Form 13F Filings
A September 2026 SEC order imposed a $500,000 penalty after years of missing Form 13F filings. Here are the operational lessons for investment managers and compliance teams…
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ETF Investing and SEC’s 13F Reporting Requirements
Michael Kitces, an investment advisor/financial planning expert, recently shared this article on his site. Our firm reached out to Mr. Kitces in January of this year expressing our concerns that a lot …
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Form 13F XML Validation Errors on EDGAR
1. Generally, the three most common validation errors you will see on the EDGAR site are incorrect schema in the XML build (columns in the wrong order, or unexpected outputs in a column, etc.) the …
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