Investment managers and advisors subject to U.S. rules: Be aware that the SEC has finalized amendments to the following filings, providing for electronic submissions instead of paper filings: 

Investment managers and advisors subject to U.S. rules: Be aware that the SEC has finalized amendments to the following filings, providing for electronic submissions instead of paper filings: 

·       Confidential treatment requests for Form 13F (via EDGAR)

·       Applications for orders under the Investment Advisers Act of 1940 (via EDGAR)

·       Form ADV-NR (via IARD)

In addition, the changes require additional information and include technical amendments for reporting on Form 13F.  

The new rules become effective 60 days after publication in the Federal Register, but with a six-month transition period for filers to implement the modified requirements.  The amendments to Form 13F have a separate effective date of 3 January 2023.  For further details, see the SEC’s Press Release and the rule amendments.”