abril 11 2024

Heightened SEC Scrutiny of Form 13F and New Form N-PX Filing Obligations – What You Need to Know Now


Although Form 13F filing requirements have been in existence for decades, the SEC and its staff have recently turned up the heat on compliance in this area, and 13F filers also must prepare for new Form N-PX filing obligations. Join us for a lively, in-depth discussion about these requirements, including:

  • What are the basic requirements?
  • Where are the potential pitfalls?
  • How should managers navigate these requirements within complex organizations, or when other managers are also involved in providing advice to an account (e.g., sub-advisory relationships; multi-manager arrangements; and model managers)?
  • What should managers be doing in light of the SEC's heightened regulatory focus on Form 13F filings?

CLE credit is pending.

Thursday, April 11, 2024

United States
11:30 a.m. – 12:30 p.m. EDT
10:30 a.m. – 11:30 a.m. CDT
9:30 a.m. – 10:30 a.m. MDT
8:30 a.m. – 9:30 a.m. PDT

4:30 p.m. – 5:30 p.m. BST
5:30 p.m. – 6:30 p.m. CEST

11:30 p.m. – 12:30 a.m. HKT
12:30 a.m. – 1:30 a.m. JST

For additional information, please contact Grace O'Toole at gotoole@mayerbrown.com.

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