SEA 13(f) Position Reporting

Overview

Institutional investment managers (i.e., generally, investors who control at $100 million in certain equity securities) are required by SEA Section 13(f) to submit reports on Form 13F of their short ownership. Notably, the term "institutional investment manager" includes not just advisers but also entities controlling principal positions; the requirement also applies to non-U.S. entities.

In addition, Congress and the SEC have considered (and, at one point, had adopted Temporary Rule 10a-3T) a rule requiring the disclosure of short positions controlled by institutional investment managers. That rule since has expired, and no similar rule is in effect (but information as to the proposal is also provided on this page).

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SEA Sections and Rules

 

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Investment Adviser Compliance Manual