Our proprietary 13F software will import your information from nearly any file format and generate correctly formatted and validated XML data for submission. As always, our knowledgeable staff will help guide you through the filing process. We’ve helped many first-time filers navigate the SEC’s 13F regulations and fulfill their reporting requirements.
13F Securities Validation & Scrubbing
As an optional add-on feature, we have the ability to filter your list of securities (based on CUSIP numbers) to identify and highlight the following:
- Securities with incomplete, missing, or invalid CUSIPs.
- Securities that are not included on the SEC’s list of 13F reportable securities.
- Positions that fall below the Share Quantity/Market Value reporting threshold.
- Discrepancies between the Name of Issuer provided and the Name of Issuer on the SEC’s list of reportable securities (according to CUSIP).
- Discrepancies between the Title of Class provided and the Title of Class on the SEC’s list of reportable securities (according to CUSIP).
Scrubbing Process
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Step 1. |
Upon receiving your initial list of holdings, we will run your file through the scrubbing process and provide an excel file with color-coded results identifying the characteristics listed above. |
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Step 2. |
After reviewing the results, you can remove or edit any of the highlighted securities, and return an updated holdings file to us. |
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Step 3. |
We will repeat the scrubbing process until the desired results are achieved, at which point we will provide you a PDF proof of the complete 13F filing for approval. |
Call today for help with your
13F filings.