Series 14: 3.2.3. Reports By Institutional Investment Managers: Form 13F

Taken from our Series 14 Online Guide

3.2.3. Reports by Institutional Investment Managers: Form 13F

Form 13F is a report filed quarterly by large investment managers disclosing their holdings. Exchange Act Rule 13f-1 requires every institutional investment manager that exercises investment discretion over $100 million or more in “Section 13(f) securities” to file a Form 13F. (Section 13(f) securities are essentially equity securities that are traded on stock exchanges or NASDAQ.) An institutional investment manager is any entity that invests or trades in securities for its own account or exercises invest

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