Introduction
When it comes to SEC compliance, timing is everything. Missing a Form 13H deadline can lead to regulatory action, fines, or even restrictions on your trading activities.
Initial Filing Deadline
If you meet the Large Trader Rule thresholds, you must file your Initial Form 13H within 10 days of crossing the threshold.
Amendment Filing Deadline
You must file an Amendment promptly whenever any information in your most recent Form 13H changes — for example, if your contact details, affiliates, or broker-dealer relationships change.
Annual Filing Deadline
Even if nothing changes, the SEC requires an Annual Form 13H filing each year by February 14 to confirm your information is still accurate.
Termination Filing
If you no longer meet the thresholds and do not expect to again, you can submit a Termination Filing (withdrawal) to end your reporting obligations.
Staying Compliant
To avoid missing deadlines:
- Keep a compliance calendar
- Monitor trading activity against SEC thresholds
- Use a compliance service like 13Hfiling.com to track and file on your behalf
Never miss a deadline again. Select our ongoing compliance package and we’ll handle your annual and amendment filings for you.