SEC Rule 13f-2: Are you ready for the January 2, 2025 deadline?

Starting January 2, 2025, institutional investment managers with significant short positions must comply with the U.S. Securities and Exchange Commission’s (SEC’s) enhanced short sale reporting rules under Rule 13f-2.

These new reporting requirements include filing Form SHO on a monthly basis to increase transparency with regulators and investors. Form SHO should make it easier to detect market manipulation as well as protect against systemic risks that could destabilize the market.

To help you navigate these changes, we’ve created a concise cheat sheet covering:

• Filing thresholds and deadlines
• What to include in Form SHO reports
• Why these requirements are essential for transparency and risk mitigation

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How we help

Simplify compliance with ACA Group’s expert support. We offer outsourced managed services and regulatory technology to help ensure an accurate and timely submission:

• Provide a Form SHO template for data collection.
• Ensure that all short position holdings are accurately represented.
• Submit and confirm submission of Form SHO within the 14-day window.
• Answer client queries about the intricacies of Form SHO.

Ready to enhance your regulatory filing process? Reach out to your ACA consultant or contact us today to learn more about our regulatory filing solutions.