Filing Deadlines and To-Do List for April 2021
By EsqSocial Corporation 15/04/21
INVESTMENT ADVISERS - Form 13H: Following an initial filing of Form 13H, all large traders must make an amended filing to correct inaccurate information promptly (within ten days) following the quarter-end in which the information became stale (unless they are on Inactive Status). Recommended due date: April 10, 2021. (Note: Neither the SEC nor its staff has provided guidance on the definition of “promptly” for Form 13H.)...
By: Hardin Compliance Consulting LLC