Investment Company Names Rule
Compliance deadline of June 11, 2026, for Larger Entities, and compliance deadline of December 11, […]
12 events found.
Events
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Juneteenth
Federal Holiday
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Audited Financials
Annual distribution to investors due within 120 days of FYE (or 180 days for Fund-of-Funds).
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GIPS Compliance Notification
Due by June 30 of each year.
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Asset Manager Code Compliance Notification
Due by June 30 of each year. FINRA Entitlement Certification (SAA Certification) available via IARD […]
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Independence Day (Observed)
Federal Holiday
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Form 13H
Due within 10 days of QE by Large Traders (if required).
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Form PF
Large Liquidity Fund Advisers: due within 15 days of QE.
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Code of Ethics Certifications and Personal Transactions
Due within 30 days of QE.
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Form 13F
Due within 45 days of QE by Institutional Managers.
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Schedule 13G
Due within 45 days of QE or 5 business days after the month-end (if required).
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Form PF
Large Hedge Fund Advisers: due within 60 days of QE.
