Wave goodbye to your questions and dive into FundApps SEC knowledge bank and the 13f-2 short selling rule. Purple and black hues in a wavelength

All things SEC

We've been ready, are you?

13f-2? It's in our DNA. The rules are coded and live inside the FundApps Shareholding Disclosure Platform, making the new February 14th deadline as smooth as a love song - no stress, no heartbreak, just effortless reporting.

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SEC Changes: A 'short' update

Over 500 people joined our live webinar to dive deep into US short selling, and now you can catch it on demand! Curious about whether 13f-2 will be partially or fully vacated? 

Find out now

We'll handle it...

As of January 2nd, short selling positions have been under the SEC's watchful eye. If you haven't started monitoring yet, now's the time - February 14th is just around the corner. 

SHO Form, fo' SHO

With the XML schema for form SHO seamlessly integrated into our platform, you can submit multiple forms to EDGAR with just a few clicks. Compliance? Check. Efficiency? Double-check.

 

SEC_13f-2_FAQ_560X315_Weve_got_your_back

US short selling rules…inside

The 13f-2 rules are fully integrated into the FundApps Shareholding Disclosure Platform. They’ve been written, validated by our large community, and are already in use. The threshold value is automatically calculated using the client data we already have..

Our rules engine has 13f-2 rules baked inside. Get on top of your reporting obligations with FundApps. We’ve got your back.

Remember...

We’ve got you covered for all things to do with US short selling and the Modernisation of Beneficial Ownership Reporting. 

Talk to us today

So, where exactly does FundApps fit into all of this?

The perfect data and spot-on submissions

With FundApps Shareholding Disclosure, you can effortlessly stay on top of regulations in over 100 jurisdictions related to beneficial ownership, short selling, and takeover panels. By automating the process, firms can easily manage growing disclosure volumes and remain adaptable to future compliance needs.

Shareholding Disclosure

One-click short selling disclosure

Simplify the global short selling disclosure process with just one click. Whether you're handling 10 or 100 disclosures, navigating various regulators can be a headache - it's time-consuming and prone to errors. FundApps Filing Manager guides you on what, when, and where to disclose, with direct submission to regulators.

Filing Manager

With over a decade of experience in this field, we not only have the expertise to help you become a LEADR in compliance monitoring and reporting but also ensure that the SEC changes have minimal impact on your operations and, most importantly, you can easily prove you are compliant.

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It's worth noting

In December 2023, a group of petitioners including NAPFM, AIMA and MFA challenged the short sale rule, including its extraterritorial scope.

FundApps is monitoring the progress of this case.

SEC webinar: we brought in the pros for this one

Our webinar unpacks the new SEC regulatory reporting rules and changes.SEC, client, and in-house experts ran over some of the main points and fielded over 50 questions. Don't miss out on the action! 

Watch the webinar here

The changes come with burning questions. Good news is that we have answers

What is the definition of "material" for purposes of 13G amendments?

 

Does the FundApps Shareholding Disclosure solution cover the 13G rule changes?

FundApps already covers the existing rules in our Shareholding Disclosure product, and updates to those will take effect on September 30, 2024. We're here to make sure compliance officers stay on top of their game, guiding them in monitoring their current positions according to the latest guidance. Plus, we're streamlining the process by automating the creation of the new machine-readable (XML) disclosure form for 13G.Get ready to enjoy all these updates as part of your Shareholding Disclosure subscription, without any extra charges. 

Shareholding Disclosure solution

Are cash-settled derivatives a must-report for QIIs and passive investors on forms 13D&G?

 

For the new 13f-2 rule, will non-US shorts be included?

 

All things SEC: Resources

The new US short selling rules: what’s going to be difficult for compliance officers?
SEC Changes
4 mins

The new US short selling rules: what’s going to be difficult for compliance officers?

New US short selling rules bring challenges for compliance officers: expanded reporting, XML filings, issuer thresholds, and daily position tracking.

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Why you should care about the latest SEC disclosure regulations
SEC Changes
3 mins

Why you should care about the latest SEC disclosure regulations

The latest SEC disclosure regulations have brought significant changes to beneficial ownership reporting and short sale disclosure rules.

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SEC: Changes to Private Fund Reporting for US Investment Advisers
SEC Changes
11 mins

SEC: Changes to Private Fund Reporting for US Investment Advisers

On 10 August 2022, the SEC voted 3-2 to propose amendments to Form PF (‘the Form’). Read more about these regulatory updates that may affect you directly.

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SPACs and what you need to disclose under Section 13 of the SEA
SEC Changes
3 mins

SPACs and what you need to disclose under Section 13 of the SEA

Special Purpose Acquisition Companies are on the rise, but data providers won't provide reporting under Section 13 of the Securities and Exchange Act of 1934.

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US Short Selling: will 13f-2 be partially or completely vacated?
SEC Changes
2 mins

US Short Selling: will 13f-2 be partially or completely vacated?

Join FundApps’ expert panel webinar on Oct 22 2024, to discuss SEC short selling rules and hear Andy Haldane speak at Compliance LEADR in November.

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Changes to Section 13 & Short Sale Requirements | FundApps
SEC Changes
2 mins

Changes to Section 13 & Short Sale Requirements | FundApps

Discover more about the new, proposed changes to Section 13 and the beneficial ownership and short-selling by the SEC from head of FundApps North America.

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