2020 Regulatory Reporting Deadlines Calendar

Most regulatory reporting deadlines follow a standard pattern. For example, Form PF is always 120 days after the start of your fiscal year, 13F filings are due 45 days after the end of the calendar quarter, Form ADV amendments are due 90 days after the start of your fiscal year. It can be difficult to keep track of the different deadlines and what to do when the regular date falls on a weekend or in the case of a leap year like 2020.

To help you stay on track with your firm’s regulatory reporting obligations, we’ve put together a printable calendar with key deadlines for the SEC, CFTC, NFA, and ESMA regulatory filings in addition to national holidays at a glance.

Request the Calendar Here

How We Help

• Filing consultation and preparation: We specialize in assisting investment advisers with regulatory reporting through services such as Form PF consulting and review as well as preparation and filing of Form(s) 13F, 13G, 13H, the CPO-PQR, and Form ADV. Additionally, we offer Form PF administration services through ACA’s Analysis and Review Center (ARC) located in Pittsburgh.
   
• Compliance management technology with Microsoft^® Outlook^®-integrated calendar: ComplianceAlpha^® is a centralized platform for managing your firm’s risk and compliance program. It includes an Outlook-integrated calendar that enables you to create and track compliance tasks, as well as receive notifications when compliance activities require your attention.

For More Information

For more information, please contact your regular ACA consultant.