Financial firms must meet various regulatory filing requirements throughout the year. Below are the regulatory filing submission deadlines occurring from April through June 2025.
| Filing Name | Regulator | Submission Deadline |
| Form 13G 10%1 | SEC | Monday, April 7, 2025 |
| Form 13H Quarterly | SEC | Thursday, April 10, 2025 |
| Form PF Large Liquidity Fund Update | SEC | Tuesday, April 15, 2025 |
| Financial Audit Statements Delivery | SEC | Wednesday, April 30, 2025 |
| Form PF Annual Update | SEC | Wednesday, April 30, 2025 |
| Form 13G 10%1 | SEC | Wednesday, May 7, 2025 |
| Form 13F Quarterly | SEC | Thursday, May 15, 2025 |
| Form 13G 5%1 | SEC | Thursday, May 15, 2025 |
| Form PF Private Equity Fund Advisers Quarterly Event Reporting | SEC | Friday, May 30, 2025 |
| Form PF Large Hedge Fund Update | SEC | Friday, May 30, 2025 |
| Form 13G 10%1 | SEC | Friday, June 6, 2025 |
| Financial Audit Statements Delivery2 | SEC | Friday, June 27, 2025 |
| Global Investment Performance Standards (GIPS®) Notification | CFA Institute | Monday, June 30, 2025 |
| Form CTA-PR | CFTC/NFA | Thursday, May 15, 2025 |
| Form CPO-PQR | CFTC/NFA | Friday, May 30, 2025 |
| AIFMD Annex IV3 | FCA/ESMA | Sunday, April 30, 2025 |
| AIFMD Annex IV – Fund of Funds3 | FCA/ESMA | Thursday, May 15, 2025 |
| FATCA/CRS-Assessment | FSRA | Monday, June 30, 2025 |
| Annual Audit Filings | FINRA | Tuesday, April 1, 2025 |
| SLS Filings | FINRA | Thursday, April 3, 2025 |
| Form Custody Filings | FINRA | Wednesday, April 3, 2025 |
| Quarterly FOCUS Part II/IIA Filings | FINRA | Wednesday, April 23, 2025 |
| SISOI Filings | FINRA | Monday, April 28, 2025 |
| SIS Filings | FINRA | Monday, April 28, 2025 |
| Off-Balance Sheet Items (OBS) Form Filings | FINRA | Wednesday, April 30, 2025 |
| SLS Filings | FINRA | Friday, May 2, 2025 |
| Monthly and Fifth FOCUS Part II/IIA Filings | FINRA | Friday, May 23, 2025 |
| SIS Filings | FINRA | Thursday, May 29, 2025 |
| Annual Audit Filings | FINRA | Friday, May 30, 2025 |
| SLS Filings | FINRA | Wednesday, June 4, 2025 |
| Monthly and Fifth FOCUS Part II/IIA Filings | FINRA | Wednesday, June 25, 2025 |
| Annual Audit Filings | FINRA | Monday, June 30, 2025 |
| SIS Filings | FINRA | Monday, June 30, 2025 |
1 Schedule 13G deadlines depend on the type of adviser and may occur throughout the year as thresholds are met.
2 Date to file noted. Actual filing deadline lands on a weekend.
3 Submission deadline is based upon guidelines issued by ESMA, exact date to be determined by reference to rules implemented by individual jurisdictions (in which filing obligation is owed).
Download our regulatory filings calendars
We’ve created calendars to help you stay on track with your regulatory filings. Our at-a-glance calendars provide key reporting deadlines as well as on-going and annual regulatory obligations for asset managers and broker-dealers.
Download our Asset Manager Filings Calendar
Download our Broker-Dealer Filings Calendar
How we help
Financial institutions must meet various regulatory filings requirements and other obligations, or subject their firm to penalties, sanctions, and hard-to-repair reputational losses. ACA Signature can help.
ACA Signature is a scalable solution curated to suit your firm’s unique compliance needs. We combine compliance advisory, innovative technology, and managed services to effectively address regulatory commitments and day-to-day responsibilities, including assisting with regulatory filings.
Reach out to your ACA consultant, or contact us to find out how ACA Signature can help transform your firm’s compliance program.