SEC Statement on the Proposal to Reduce 13F Reporting

  • Ian Manson is a managing director at Duff & Phelps.
    Ian Manson IanManson
  • Jane Stoakes is a managing director at Duff & Phelps.
    Jane Stoakes JaneStoakes
  • Peter Ray is a managing director at Duff & Phelps.
    Peter Ray PeterRay
  • Warren Radloff is a director in the London office at Duff & Phelp
    Warren Radloff WarrenRadloff
  • Kroll
    Alex Lander AlexLander
  • Andrew Lowin is a director at Duff & Phelps.
    Andrew Lowin AndrewLowin
  • Darragh Finn is a director at Duff & Phelps.
    Darragh Finn DarraghFinn
  • Matteo Basso Matteo Basso
  • Tom Bevan Tom Bevan
  • Tom De Ville Tom De Ville
  • Laura Febbrari Laura Febbrari
  • Mark Ford Mark Ford
  • Lauren Foulstone Lauren Foulstone
  • Nadia Ghodrati Nadia Ghodrati
  • Giles McClellend Giles McClellend
  • Sam Smith Sam Smith
  • Amelie Snape Amelie Snape

SEC Statement on the Proposal to Reduce 13F Reporting

The SEC has proposed to increase the Form 13F reporting threshold from USD 100 million to USD 3.5 billion. Form 13F is applicable to an investment manager that exercises investment discretion on accounts holding at least USD 100 million in “Section 13(f) securities”- generally any U.S equities. This is the first time the threshold has been adjusted since the Form 13F was introduced in 1978. It is also proposed to review the reporting threshold every five years. The proposal will be published on the Commission’s website, and in the Federal Register, and there will be a 60-day comment period following publication in the Federal Register. 

The full press release can be read here.

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