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FORM ADV UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS Primary Business Name: DUKE AND DUKE WEALTH MANAGEMENT LLC CRD Number: 290184Annual Amendment

How to fill out form 13f holdings report

How to fill out form 13f holdings report

1. To fill out form 13f holdings report, follow these steps:
2. Obtain the necessary form: Form 13F can be obtained from the Securities and Exchange Commission (SEC) website.
3. Collect all the required information: Gather all the necessary information about the securities holdings, including the name of the securities, CUSIP number, market value, and the number of shares held.
4. Complete the identification information: Fill in the identifying information section of the form, including the name of the reporting institution, address, and contact information.
5. Enter the details of securities holdings: Provide the required details of each security held, including the name, CUSIP number, number of shares held, and market value.
6. Calculate the total value: Calculate the total aggregate value of all securities held.
7. Sign and date the form: Sign and date the form to certify its accuracy.
8. File the form: Submit the completed form electronically through the SEC's Electronic Data Gathering and Retrieval (EDGAR) system.

Who needs form 13f holdings report?

1. Form 13F holdings report is required by institutional investment managers with assets under management (AUM) of $100 million or more in certain equity securities. These managers include banks, insurance companies, hedge funds, mutual funds, pension funds, and other similar entities. It is a regulatory requirement imposed by the SEC to provide transparency and public disclosure of significant institutional holdings in the market.

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What is form 13f holdings report?

Form 13F is a quarterly report filed by institutional investment managers that disclose their equity holdings. It is used by the Securities and Exchange Commission (SEC) to monitor and analyze the investment activities of large institutional investors.

Who is required to file form 13f holdings report?

Institutional investment managers with discretion over $100 million in qualifying securities are required to file Form 13F.

How to fill out form 13f holdings report?

To fill out Form 13F, managers must provide information about their equity holdings including the name of the issuer, class of the security, CUSIP number, number of shares owned, and the value of those shares as of the end of the reporting period.

What is the purpose of form 13f holdings report?

The purpose of Form 13F is to provide the SEC and the public with insight into the investment activities of large institutional investors, which helps in understanding market trends and the behavior of significant market participants.

What information must be reported on form 13f holdings report?

The report must include the names of issuers, the class of securities, the respective CUSIP numbers, the number of shares held for each security, and the value of those shares.