2026
October 13, 2026
- Form 13H Filing for Changes. Filing is for the calendar quarter that ended September 30, 2026, and should be submitted within 10 days of quarter end.
November 16, 2026
- Form 13F Quarterly Filing. Filing is for the calendar quarter that ended September 30, 2026, and should be submitted within 45 days of quarter end.
- Form 13G Quarterly Filing. Filing is for the calendar quarter that ended September 30, 2026, and should be submitted within 45 days of quarter end in which a material change has occurred.
- CTA Form PR. Filing is for the calendar quarter that ended September 30, 2026, and should be submitted within 45 days of quarter end in which any material changes occurred.
November 30, 2026
- Form PF for Large Hedge Fund Advisers. Filing is for the calendar quarter that ended September 30, 2026, and should be submitted within 60 days of quarter end.
- Form PF (Section 6) for Private Equity Fund Advisers. Filing is for the calendar quarter that ended September 30, 2026, and should be submitted within 60 days of quarter end in which a reporting event has occurred.
December 8, 2026
- Annual IARD Renewal Payments Due for Preliminary Statement Issued in E-bill for Registration/Notice Filings. Payment can be made through FINRA Firm Gateway.
Periodic
- Fund Managers should perform “Bad Actor” certifications annually.
- Form D and Blue Sky Filings should be current.
- Super Account Administrators (“SAA”) should complete the identity verification process through FINRA Firm Gateway and ID.me.
- CPO/CTA Annual Questionnaires must be submitted annually, and promptly upon material information changes, through the NFA Annual Questionnaire system.
Please contact us with any questions or assistance regarding compliance, registration, or planning issues on any of the above topics.
