Family Office Insights: Exchange Act Form 13F – New Requirements Effective July 1, 2024

May 2024
Region: Americas

In an earlier Family Office Insight, we discussed the potential applicability of Section 13(f) of the US Securities Exchange Act of 1934, as amended (the Exchange Act), to family offices that, because of the exclusion for “family offices,” are not required to register under the Investment Advisers Act of 1940, as amended (the Advisers Act). As we discussed in that Insight, other aspects of US securities laws may nevertheless be applicable to family offices, even family offices that satisfy the requirements for exclusion from Advisers Act registration. One such potential “trap for the unwary” that we identified is the “institutional investment manager” filing requirement contained in Exchange Act Section 13(f).

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