Q4 2021 Regulatory Reporting Deadlines

Publish Date

Type

Article

Topics

  • Compliance
  • Regulatory Deadlines
  • Regulatory Technology

Below are the regulatory filing submission deadlines occurring from October through December 2021.

Filing Name

Regulator

Submission Deadline

Schedule 13G Monthly1

SEC

Tuesday, October 12, 2021

Form 13H Quarterly

SEC

Tuesday, October 12, 2021

Form PF Liquidity Fund Quarterly

SEC

Friday, October 15, 2021

Schedule 13G Monthly1

SEC

Wednesday, November 10, 2021

Form 13F Quarterly

SEC

Monday, November 15, 2021

Form PF Hedge Fund Quarterly

SEC

Monday, November 29, 2021

Schedule 13G Monthly1

SEC

Friday, December 10, 2021

AIFMD Annex IV2

FCA/ESMA

Monday, November 1, 2021

AIFMD Annex IV - Fund of Funds2

FCA/ESMA

Monday, November 15, 2021

Form CTA-PR

CFTC/NFA

Monday, November 15, 2021

CPO-PQR

CFTC/NFA

Monday, November 29, 2021

1 Schedule 13G deadlines depend on the type of adviser and may occur throughout the year as thresholds are met. 
2 Submission deadline is based upon guidelines issued by ESMA, exact date to be determined by reference to rules implemented by individual jurisdictions (in which filing obligation is owed).

Additional resources

We've created a calendar to help you stay on track with your regulatory filings. Request our Regulatory Filings Calendar to view key regulatory filing due dates and holidays at a glance.

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