Financial firms must meet various regulatory filings requirements throughout the year. Below are the regulatory filing submission deadlines occurring from July through September 2024.
| Filing Name | Regulator | Submission Deadline |
| Form N-MFP | SEC | Monday, July 8, 2024 |
| Form 13H Quarterly | SEC | Wednesday, July 10, 2024 |
| Form 13G Monthly1 | SEC | Wednesday, July 10, 2024 |
| Form PF Liquidity Fund Quarterly | SEC | Monday, July 15, 2024 |
| Form N-MFP | SEC | Wednesday, August 7, 2024 |
| Form 13G Monthly1 | SEC | Monday, August 12, 2024 |
| Form 13F Quarterly | SEC | Wednesday, August 14, 2024 |
| Form N-PORT | SEC | Thursday, August 29, 2024 |
| Form PF Hedge Fund and Private Equity Fund Advisers Quarterly | SEC | Thursday, August 29, 2024 |
| Form N-PX | SEC | Friday, August 30, 2024 |
| Form N-MFP | SEC | Monday, September 9, 2024 |
| Form 13G Monthly1 | SEC | Tuesday, September 10, 2024 |
| AIFMD Annex IV2 | FCA/ESMA | Monday, July 29, 2024 |
| AIFMD Annex IV – Fund of Funds2 | FCA/ESMA | Monday, August 19, 2024 |
| Form CTA-PR | CFTC/NFA | Wednesday, August 14, 2024 |
| Form CPO-PQR | CFTC/NFA | Thursday, August 29, 2024 |
| Annual Audit Filings | FINRA | Monday, July 1, 2024 |
| SIS Filings | FINRA | Monday, July 1, 2024 |
| SLS Filings | FINRA | Monday, July 8, 2024 |
| Form Custody Filings | FINRA | Wednesday, July 24, 2024 |
| Quarterly FOCUS Part II/IIA Filings | FINRA | Wednesday, July 24, 2024 |
| SIS Filings | FINRA | Monday, July 29, 2024 |
| SSOI Filings | FINRA | Monday, July 29, 2024 |
| Annual Audit Filings | FINRA | Tuesday, July 30, 2024 |
| Off-Balance Sheet Items (OBS) Form Filings | FINRA | Wednesday, July 31, 2024 |
| SLS Audit Filings | FINRA | Friday, August 2, 2024 |
| Monthly and Fifth FOCUS Part II/IIA Filings | FINRA | Friday, August 23, 2024 |
| SIS Audit Filings | FINRA | Wednesday, August 28, 2024 |
| Annual Audit Filings | FINRA | Thursday, August 29, 2024 |
| SLS Audit Filings | FINRA | Wednesday, September 4, 2024 |
| Monthly and Fifth FOCUS Part II/IIA Filings | FINRA | Wednesday, September 25, 2024 |
| Annual Audit Filings | FINRA | Monday, September 30, 2024 |
| SIS Filings | FINRA | Monday, September 30, 2024 |
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).
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 and on-going and annual regulatory obligations for investment advisers and broker-dealers registered with the:
- SEC
- FCA
- ESMA
- CFTC
- NFA
- FINRA
Download our Investment Adviser Filings Calendar
Download our FINRA 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.