Get Form N-px

An Institutional Manager is required to file a Form N-PX for the period July 1 through September 30 of the calendar year in which the manager's final filing on Form 13F is due pursuant to Rule 13f-1 under the Exchange Act; this filing is required to be made not later than March 1 of the immediately following calendar ...

13F-NT is the 13F Notice and is used when none of your applicable securities are on the report and are on someone else's report.

New Rule 13f-2 under the Securities Exchange Act of 1934 (the “Exchange Act”) will require “institutional investment managers” that engage in short sales of “equity securities” in excess of certain thresholds to file new Form SHO with the SEC monthly.

Reports on Form N-PORT for each month in each fiscal quarter of a fund must be filed with the Commission no later than 60 days after the end of such fiscal quarter. If the due date falls on a weekend or holiday, the filing deadline will be the next business day.

Mutual Funds are required to report annually on Form N-PX the proxy votes they exercise for securities the fund holds. Currently, these filings are some of the longest SEC reports, numbering up to a thousand pages in traditional ASCII or HTML format!

SEC Form N-1A is the required registration form for establishing open-end management companies. The form can be used for registering both open-end mutual funds and open-end exchange traded funds (ETFs).

Consistent with the proposal, amended Form N–PX will require reporting persons to disclose the number of shares voted (or instructed to be voted) and how those shares were voted ( e.g., for or against proposal, or abstain), as reflected in their records at the time of filing a report on Form N–PX.