File|13F: Blog Articles Realated to Form 13F Filing https://file13f.com/category/form-13f-filing Form 13F Filing Service for Financial Advisors Sat, 16 Mar 2024 02:34:47 +0000 en-US hourly 1 https://wordpress.org/?v=6.9.4 https://file13f.com/wp-content/uploads/2018/05/cropped-File-13F-Identity-Logo-2-32x32.png File|13F: Blog Articles Realated to Form 13F Filing https://file13f.com/category/form-13f-filing 32 32 ETF Investing and SEC’s 13F Reporting Requirements https://file13f.com/etf-investing-and-secs-13f-reporting-requirements Sat, 11 Jul 2020 13:37:26 +0000 https://file13f.com/?p=450 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 of firms were not filing their 13F but should be. We have been informed of many situations where firms did not understand the […]

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]]> 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 of firms were not filing their 13F but should be. We have been informed of many situations where firms did not understand the EDGAR filing requirement until they were audited.

Our goal was to help raise awareness of this requirement and let firms know that we are an outlet to help them. File 13F assists filers with understanding form 13F requirements, determine the best way to gather the necessary data, prepare the information into the proper format (XML) and ultimately complete the filing accurately.

If you are not sure you are required to file, please reach out to us and we will see if your firm has hit the threshold. This is a COMPLIMENTARY service in order to help assure everyone is filing that needs to be.

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]]> Form 13F XML Validation Errors on EDGAR https://file13f.com/form-13f-xml-validation-errors-on-edgar Mon, 20 Jan 2020 21:25:38 +0000 https://file13f.com/?p=293 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 CUSIP not formatted correctly or non-round market values present.Schema – Unfortunately, you will have to create the schema again using […]

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]]> 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 CUSIP not formatted correctly or non-round market values present.Schema – Unfortunately, you will have to create the schema again using Excel. The instructions are here: https://www.sec.gov/info/edgar/quick-reference/13f-xml-information-table.pdf

2. In terms of CUSIP issues, it is recommended NEVER to open your raw files in Excel unless you are able to make the CUSIP column text formatted before it is imported. A text column will maintain the leading zeros and not turn a CUSIP into a scientific number. Depending on the version and settings in Excel, you may not be able to change the formatting to text once opened and scientific numbers will never be able to be reversed.

3. For non-round market values, you will have to adjust the raw data in Excel by either using a formula or cell format changes (depending on your version of Excel).

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