Insights
Client Alert
Year-End, Quarterly and Other Filings Under Section 13 and Section 16 of the Securities Exchange Act of 1934
January 01, 2002
By Paul Hastings Professional
Section 13 of the Securities Exchange Act of 1934, as amended and rules promulgated thereunder require advisers and brokers who exercise investment discretion over exchange-traded equity securities to file acquisition and ownership reports with the Securities and Exchange Commission.