Blog  •  January 11, 2023

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Breaking Down the Form 13F Amendments

As our readers know, DFIN is committed to providing helpful and actionable insights on the latest regulatory developments. Today, we want to call your attention to the Form 13F amendments, which went into effect on EDGAR on January 3, 2023.

According to the Form 13F amendments rule changes, there will be a six-month transition period (from January 3, 2023). During this time, the following amended items are optional and do not need to be reported:

  • CRD Number = Central Registration Depository number.
  • SEC File Number = SEC supplied file number (e.g., 801-, 8-, 866-, 802-).
  • FIGI = Financial Instrument Global Identifier.

The amendments that can be reported during this time include the following:

  • Summary Page: The Information Table Value Total can still be reported to the nearest thousand. However, beginning on July 3, 2023, this total must be reported to the nearest dollar.
  • Information Table Column 4 (Value): The Value can still be reported to the nearest thousand but starting on July 3, it must be changed to the nearest dollar.

The DFIN team is currently updating our system and processes, which will include a revised Form 13F template that will be available to everyone once the amendments have been implemented, which we expect will be closer to July 3. Until that time, businesses should continue using the current DFIN Form 13F template, which remains valid.

As always, DFIN experts are available to answer your questions regarding the 13F amendments at Compliance Services (compliance-services@dfinsolutions.com). We will also continue providing updates on the latest developments.

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clark

Marcie Clark

Global Director, Filing and Compliance Services, DFIN