Form 13F
Report of Institutional Investment Managers Pursuant to Section 13(f) of the Securities Exchange Act of 1934
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The following is a link to the SEC web site. The Federal Reserve Board does not maintain these forms and instructions.
http://www.sec.gov/about/forms/secforms.htm#1934forms
Description:
Institutional investment managers (Managers) must file Form 13F with the Securities and Exchange Commission (the Commission) as required by Section 13(f) of the Securities Exchange Act of 1934 [15 U.S.C. 78m(f)] (Exchange Act) and rule 13f-1 [17 CFR 240.13f-1]. Rule 13f-1(a) provides that every Manager that exercises investment discretion with respect to accounts holding Section 13(f) securities, as defined in rule 13f-1(c), having an aggregate fair market value on the last trading day of any month of any calendar year of at least $100,000,000 shall file a Form 13F with the Commission within forty-five days after the last day of such calendar year and within forty-five days after the last day of each of the first three calendar quarters of the subsequent calendar year. A Manager that is a bank, the deposits of which are insured in accordance with the Federal Deposit Insurance Act, must file with the appropriate regulatory agency.
OMB Control Number:
3235-0006
Purpose:
The reporting system required by Section 13(f) of the Exchange Act is intended, among other things, to create in the Commission a central repository of historical and current data about the investment activities of institutional investment managers and to improve the body of factual data available to regulators and the public.
Background:
State member banks and U.S. branches of foreign banks that are obligated to file Securities and Exchange Commission (SEC) Form 13F with the SEC are also obligated to file Form 13F with the Federal Reserve Board, pursuant to the Exchange Act, Sections 13(f)(4)(B) and 3(a)(34)(D)(ii). Specifically, state member banks and U.S. branches of foreign banks, "the deposits of which are insured in accordance with the Federal Deposit Insurance Act," are obligated to file Form 13F with the SEC and must also file Form 13F with the Federal Reserve Board pursuant to the Exchange Act. Domestic and foreign banking organizations supervised by the Federal Reserve that are obligated to file SEC Form 13F with the SEC must also file Form 13F with the Federal Reserve Board via e-mail to [email protected].
Respondent Panel:
State member banks and U.S. branches of foreign banks. Reporting is required.
Frequency:
Rule 13f-1(a) provides that every Manager that exercises investment discretion with respect to accounts holding Section 13(f) securities having an aggregate fair market value on the last trading day of any month of any calendar year of at least $100,000,000 shall file a Form 13F with the Commission within forty-five days after the last day of such calendar year and within forty-five days after the last day of each of the first three calendar quarters of the subsequent calendar year.
Public Release:
Upon request, filings are available unless confidentiality status has been granted in accordance with the Instructions for Confidential Treatment Requests.