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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 is a filing submitted by TD SECURITIES INC as the initial quarterly Form 13F notice report, indicating that no holdings are reported in this form, and all holdings are reported by other managers.

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How to fill out form 13f-nt

01

Step 1: Obtain the Form 13F-NT from the SEC website or appropriate regulatory body.

02

Step 2: Fill out the identifying information, including your name, address, and contact details.

03

Step 3: Indicate the filing period for which the report is being submitted.

04

Step 4: Provide details of the investment adviser, including SEC file number if applicable.

05

Step 5: List all 13F securities held by the filer, including the name of the issuer, class of shares, and value.

06

Step 6: Sign and date the form before submission.

07

Step 7: File the completed form electronically through the SEC's EDGAR system or send a hard copy to the appropriate SEC office.

Who needs form 13f-nt?

01

Investment advisers who manage over $100 million in certain securities are required to file form 13F-NT.

02

Institutional investment managers who have a reporting obligation under the Investment Advisers Act of 1940 also need this form.

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What is form 13f-nt?

Form 13F-NT is a regulatory filing submitted to the U.S. Securities and Exchange Commission (SEC) by institutional investment managers that report their holdings in publicly traded securities. It is specifically used to notify the SEC of the termination of an earlier Form 13F filing.

Who is required to file form 13f-nt?

Institutional investment managers with discretion over $100 million in qualifying assets are required to file Form 13F-NT when they cease to report under Form 13F.

How to fill out form 13f-nt?

To fill out Form 13F-NT, the filer must provide their identifying information, specify the reason for termination of the previous filing, and submit it to the SEC through the EDGAR system.

What is the purpose of form 13f-nt?

The purpose of Form 13F-NT is to inform the SEC and the public that an institutional investment manager is no longer filing under Form 13F, thus providing transparency in the financial markets.

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

Form 13F-NT requires the reporting of the institutional investment manager's name, address, SEC file number, and the reason for termination of the Form 13F filing.

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