Syndicate Legal Advisory Services provides nationwide legal document preparation services for Registered Investment Advisers (and other persons) required to prepare Form 13H under Section 13(h) of the Securities Exchange Act of 1934 and Rule 13h-1. We prepare Form 13H and related supporting materials based on the firm information, trading activity details, and specific instructions you provide.
Documents Commonly Prepared
We prepare a full range of documents associated with Form 13H, including but not limited to:
- Form 13H (Initial, Annual, or Amended): Completion of the form, including business description, SEC filings, list of broker-dealers, organizational information, governance details, and other required items, based on the information you supply.
- Organizational Charts and Schedules: Formatting of organizational charts identifying the large trader, parent companies, securities affiliates, and related entities, based on the structure details you provide.
- Related Supporting Materials: Organization of exhibits or attachments incorporating client-supplied information on affiliates, accounts, or broker-dealer relationships.
- Inactive Status or Other Related Filings: Preparation of materials related to inactive status requests or other Form 13H variants, based on your instructions.
- Amendments: Formatting of amended filings when information becomes inaccurate, based on the updated details you supply.
Documents are prepared for use in connection with electronic filings through the SEC’s EDGAR system (subject to the information you provide). Form 13H is required for persons who exercise investment discretion over accounts and effect transactions in NMS securities equal to or greater than the identifying activity level (2 million shares or $20 million in a calendar day, or 20 million shares or $200 million in a calendar month); the initial filing is due promptly after first meeting the threshold (generally within 10 days); annual filings are due within 45 days after the end of each full calendar year; amendments are due promptly following the end of a calendar quarter if information becomes inaccurate; upon filing, an LTID is assigned and must be provided to broker-dealers; clients remain fully responsible for determining the filing obligation (including threshold calculations and investment discretion), the accuracy of the content, timely electronic filing via EDGAR, provision of the LTID to broker-dealers, and compliance with all Securities Exchange Act and SEC requirements.
