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Name: Fillable Online Initial Quarterly Form 13f Notice Report Filed by Institutional Managers Fax Email Print - pdfFiller
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This document represents the initial quarterly Form 13F notice report filed by Morgan Stanley Smith Barney LLC for the period ending March 31, 2013. It provides details regarding the institutional investment manager, including filing dates, addresses, and representatives involved in the submission of the report.

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How to fill out form 13f-nt

01

Obtain the Form 13F-NT from the SEC's website or your financial advisor.

02

Fill in the identifying information, including your name, address, and SEC file number.

03

Indicate the reporting period for which you are filing the form.

04

List the securities that are exempt from filing a full Form 13F, if applicable.

05

Review the instructions carefully to ensure compliance with all requirements.

06

Sign and date the form.

07

Submit the completed form electronically through the SEC's EDGAR system.

Who needs form 13f-nt?

01

Investment managers and institutional investors who manage over $100 million in securities.

02

Those who are required to notify the SEC when they are not filing a full Form 13F.

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What is form 13f-nt?

Form 13F-NT is a filing with the Securities and Exchange Commission (SEC) that is used by institutional investment managers to report their ownership of certain securities.

Who is required to file form 13f-nt?

Institutional investment managers who manage over $100 million in qualifying assets are required to file Form 13F-NT.

How to fill out form 13f-nt?

To fill out Form 13F-NT, institutional investment managers must provide detailed information about their securities holdings, including the names of the securities, the number of shares owned, and the value of those holdings.

What is the purpose of form 13f-nt?

The purpose of Form 13F-NT is to provide transparency in the securities markets by disclosing the holdings of large institutional investors.

What information must be reported on form 13f-nt?

Form 13F-NT requires reporting of the name of the issuer, the title of the security, the number of shares held, and the total market value of the securities.

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