Regulatory Reporting Calendar
Regulatory status current as of June 2026 — verify deadlines and filing venues against current SEC/FINRA/FinCEN sources before advising.
| Filing | Who Must File | Frequency | Deadline | Filed With |
|---|---|---|---|---|
| Form ADV (annual) | SEC-registered IAs | Annually | 90 days after fiscal year end | SEC via IARD |
| Form ADV (interim) | SEC-registered IAs | As needed | Promptly (within 30 days of material change) | SEC via IARD |
| Form PF (small filer) | IAs with $150M+ private fund AUM | Annually | 120 days after fiscal year end | SEC via PFRD (FINRA-operated) |
| Form PF (large hedge) | IAs with $1.5B+ hedge fund AUM | Quarterly | 60 days after quarter end | SEC via PFRD (FINRA-operated) |
| Form PF (large liquidity) | IAs with $1B+ liquidity fund AUM | Quarterly | 15 days after quarter end | SEC via PFRD (FINRA-operated) |
| Form PF (large PE) | IAs with $2B+ PE fund AUM | Annually | 120 days after fiscal year end | SEC via PFRD (FINRA-operated) |
| Form PF (current report) | Large hedge fund advisers | Event-driven | 72 hours after triggering event | SEC via PFRD (FINRA-operated) |
| Form 13F | Managers with $100M+ in 13(f) securities | Quarterly | 45 days after quarter end | SEC via EDGAR |
| Form 13H (initial) | Large traders | Once | Promptly after threshold is met | SEC via EDGAR |
| Form 13H (annual) | Large traders | Annually | 45 days after calendar year end | SEC via EDGAR |
| FOCUS Part II | Introducing BDs | Quarterly | 17 business days after quarter end | FINRA |
| FOCUS Part IIA | Carrying/clearing BDs | Monthly | 17 business days after month end | FINRA |
| CAT (equities/options) | BD members, exchanges | Daily | 8:00 a.m. ET on T+1 | FINRA CAT |
| CAIS (customer data) | BD members | Ongoing | Per CAT NMS Plan schedule | FINRA CAT |
| Short interest | FINRA members | Semi-monthly | 6:00 p.m. ET, 2nd business day after settlement date | FINRA |
| TRACE (fixed income) | FINRA members | Per transaction | Within 15 minutes of execution | FINRA |
| OTC equity trade reports | FINRA members | Per transaction | Within 10 seconds of execution | FINRA (TRF/ORF/ADF) |
| SARs | BDs, banks, covered IAs (adviser coverage delayed to 2028 — verify) | Event-driven | 30 days after detection (60 if no suspect) | FinCEN via BSA E-Filing |
| CTRs | BDs, banks | Event-driven | 15 days after transaction | FinCEN via BSA E-Filing |
| FINRA Rule 4530 | FINRA members | Event-driven | 30 calendar days of the event | FINRA |