SEC Form 13F

What is the 'SEC Form 13F'

The SEC form 13F is a filing with the Securities and Exchange Commission (SEC), also known as the Information Required of Institutional Investment Managers Form. It is a quarterly filing required of institutional investment managers with over $100 million in qualifying assets. Companies required to file SEC Form 13-F may include insurance companies, banks, pension funds, investment advisers and broker-dealers. This form, which must be filed within 45 days of the end of each quarter, contains information about the investment manager and potentially a list of their recent investment holdings.

BREAKING DOWN 'SEC Form 13F'

SEC Form 13-F was made famous by investment con artist Bernie Madoff. It provides investors with an inside look at the holdings of Wall Street's largest investment managers. While this form can provide valuable insight into the management style of some of Wall Street's best, history has proven that these forms are only truly usable by investors when the investment manager reports accurately and honestly.

Related Forms: SEC Forms 13-FE, 13-G.

RELATED TERMS
  1. SEC Form 15

    A filing with the Securities and Exchange Commission (SEC), also ...
  2. SEC Form 487

    A filing with the Securities and Exchange Commission (SEC), also ...
  3. SEC Form 10SB12B

    A filing with the Securities and Exchange Commission (SEC), also ...
  4. SEC Form S-2

    A form from the Securities and Exchange Commission (SEC) that ...
  5. SEC Form 24F-2

    A filing with the Securities and Exchange Commission (SEC) that ...
  6. SEC Form 8-A

    A filing with the Securities and Exchange Commission (SEC), also ...
Related Articles
  1. Popular Resources for Equity Research and Analysis: Chapter 2: The SEC Website

    Second to the company investor relations sites is the direct SEC website at www.sec.gov. Investors can learn quite a bit about the securities industry from the SEC. The forms page, which details ...
  2. Investing

    It's 13F Season: Hedge Funds Disclose Holdings (AAPL, GOOGL)

    If you ever want to know what the so-called "smart money" is buying and selling, the 13F filing with the Securities and Exchange Commission (SEC) can be your best friend.
  3. Investing Basics

    How A Company Files With The SEC

    Filing with the SEC is not as complicated as you might thing -- just be meticulous about following the steps.
  4. Investing Basics

    SEC Filings: Forms You Need To Know

    The forms companies are required to file provide a clear view of their histories and progress.
  5. Investing Basics

    Policing The Securities Market: An Overview Of The SEC

    Find out how this regulatory body protects the rights of investors.
  6. Professionals

    How To Get A Job At The SEC

    Want to make a good living taking on those renegade trading rascals on Wall Street? Here are some tips to help you get in the door at the SEC.
  7. Active Trading

    Value Investing: Couch Potato Value Investing

    At this point, you might be thinking that value investing sounds like a lot of work. You might also be wondering if you really have the patience or skill to do the analysis and pick winning stocks. ...
  8. Mutual Funds & ETFs

    Madoff No "Mystery Man" To The SEC

    The SEC had been informed of Madoff's schemes well before he was arrested, so why wasn't he stopped?
  9. Taxes

    Late with Your Taxes? Grab IRS Form 4868

    Fill out this form to get a few more months to file your tax return. But remember, April 15 is still the payment due date if you owe taxes.
  10. Taxes

    What IRS Form 990 Tells About a Nonprofit

    Want a picture of an organization's activities? This annual form, open to the public, sums up everything from salaries paid to missions accomplished.
RELATED FAQS
  1. How often do mutual funds report their holdings?

    Learn how mutual funds are required by the Securities and Exchange Commission to disclose their portfolio holdings on a quarterly ... Read Answer >>
  2. When must a company announce earnings?

    The Securities & Exchange Commission (SEC) requires companies to file earnings reports no later than 45 days after the ... Read Answer >>
  3. What is an unregistered security scam?

    Each year, millions of Americans lose money to con artists who convince them to invest in companies through "private offerings" ... Read Answer >>
  4. What are unregistered securities or stocks?

    Before securities, like stocks, bonds and notes, can be offered for sale to the public, they first must be registered with ... Read Answer >>
  5. What information does the SEC require in an investment company's prospectus?

    Understand the lengthy list of required information that investment companies such as mutual funds must include in a prospectus ... Read Answer >>
  6. How do I know if I am buying unregistered securities or stocks?

    All securities, including stocks, bonds and notes, must be registered with the Securities and Exchange Commission (SEC) before ... Read Answer >>
Hot Definitions
  1. MACD Technical Indicator

    Moving Average Convergence Divergence (or MACD) is a trend-following momentum indicator that shows the relationship between ...
  2. Over-The-Counter - OTC

    Over-The-Counter (or OTC) is a security traded in some context other than on a formal exchange such as the NYSE, TSX, AMEX, ...
  3. Quarter - Q1, Q2, Q3, Q4

    A three-month period on a financial calendar that acts as a basis for the reporting of earnings and the paying of dividends.
  4. Weighted Average Cost Of Capital - WACC

    Weighted average cost of capital (WACC) is a calculation of a firm's cost of capital in which each category of capital is ...
  5. Basis Point (BPS)

    A unit that is equal to 1/100th of 1%, and is used to denote the change in a financial instrument. The basis point is commonly ...
  6. Sharing Economy

    An economic model in which individuals are able to borrow or rent assets owned by someone else.
Trading Center