Client Alert

Section 13 SEC Reporting by Advisers and Brokers and Section 16 SEC Reporting by “Insiders” of Public Companies

February 05, 2007

Investment Management Practice Group

This memorandum summarizes the Section 13 reporting requirements applicable to investment advisers and brokers, focusing particularly on Schedule 13G, and the Section 16 reporting requirements applicable to “insiders” of public companies and includes a schedule of the filing deadlines for 2007.

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Practice Areas

Investment Management

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