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Day 4: 201 Participant Resources
Data Use Professional Development Series
Rhode Island Department of EducationResources
Page 1www.ride.RI.gov
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What is day 4 201 participant?
Day 4 201 participant is a form required by the U.S. Securities and Exchange Commission for certain institutional investment managers.
Who is required to file day 4 201 participant?
Institutional investment managers with assets under management of $100 million or more are required to file day 4 201 participant.
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Day 4 201 participant can be filled out electronically through the SEC's EDGAR system.
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The purpose of day 4 201 participant is to provide the SEC with information about the investment holdings and activities of institutional investment managers.
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Day 4 201 participant requires reporting of the names and types of securities held, the market value of the holdings, and other relevant information.
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