Q3 2022 Regulatory Reporting Deadlines

Publish Date

Type

Article

Topics

  • Compliance

Below are the regulatory filing submission deadlines occurring from July through September 2022.

Filing Name

Regulator

Submission Deadline

Schedule 13G Monthly1

SEC

Monday, July 11, 2022

Form 13H Quarterly

SEC

Monday, July 11, 2022

Form PF Hedge Fund Quarterly

SEC

Friday, July 15, 2022

Schedule 13G Monthly1

SEC

Wednesday, August 10, 2022

Form 13H Quarterly

SEC

Monday, August 15, 2022

Form PF Hedge Fund Quarterly

SEC

Monday, August 29, 2022

Schedule 13G Monthly1

SEC

Monday, September 12, 2022

MIFIDPRU Periodic Reporting

FCA

Thursday, July 28, 2022

AIFMD Annex IV2

FCA/ESMA

Monday, August 1, 2022

AIFMD Annex IV - Fund of Funds2

FCA/ESMA

Monday, August 15, 2022

Form CTA-PR

CFTC/NFA

Monday, August 15, 2022

CPO-PQR

CFTC/NFA

Monday, August 29, 2022

SLS Filings

FINRA

Wednesday, July 6, 2022

Form Custody Filings

FINRA

Tuesday, July 26, 2022

Quarterly FOCUS Part II/IIA Filings

FINRA

Tuesday, July 26, 2022

SSOI Filings

FINRA

Friday, July 29, 2022

SIS Filings

FINRA

Friday, July 29, 2022

Annual Audit Filings

FINRA

Monday, August 1, 2022

Off-Balance Sheet Items (OBS) Form Filings

FINRA

Tuesday, August 2, 2022

SLS Filings

FINRA

Thursday, August 4, 2022

Monthly and Fifth FOCUS Part II/IIA Filing

FINRA

Tuesday, August 23, 2022

SIS Filings

FINRA

Friday, August 26, 2022

Annual Audit Filings

FINRA

Monday, August 29, 2022

SLS Filings

FINRA

Thursday, September 1, 2022

Monthly and Fifth FOCUS Part II/IIA Filing

FINRA

Monday, September 26, 2022

SIS Filings

FINRA

Thursday, September 29, 2022

Annual Audit Filings

FINRA

Thursday, September 29, 2022

1 Schedule 13G deadlines depend on the type of adviser and may occur throughout the year as thresholds are met. 
2 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).

Additional resources

We've created a calendar to help you stay on track with your regulatory filings. Request our Regulatory Filings Calendar for private funds or Broker-Dealer Filings Calendar to view key regulatory filing due dates and holidays at a glance.

How we help

Financial firms must meet various regulatory filings requirements or else face potential monetary penalties and reputational damage. However, the regulatory filings process can be time-consuming and error-prone when done manually in-house.

We combine technology with managed services to provide investment advisers and broker-dealers with a cost-effective, full-service offering designed to help streamline complex reporting requirements, improve data accuracy, and reduce the operational costs related to regulatory filings.

Our experienced team of regulatory filings specialists can help your firm draft, review, and file applicable filings on your firm’s behalf. We use ACA’s proprietary regulatory reporting platform for most filings to reduce risk and increase operational efficiencies.

Learn more about our regulatory filings and other managed services here.

For more information

For more information, contact your regular ACA Consultant or contact us here