ACN Official List of 13F Securities 

The Official List - See Sample below.

ACN has incorporated the Official List of 13F Securities in the ACN / Form 13F Online Application formatted as an electronic file. The Official List matches the printed version that the SEC provides to institutional managers on a quarterly basis.

Use the online app to identify only those holdings that are required for submission with the 13F Report.  The file  offers the official "Issuer Name" and "Title of Class" description and CUSIP code that complies with the EDGAR requirements for submitting the 13F Report. All options (PUTS and CALLS) are included with their unique CUSIP number as assigned by the SEC.

The Official List is not available as a separate product.

(Return to ACN / Form 13F Page)

The SEC publishes a list of 13F securities – called the Official List of Section 13(f) Securities – at the end of each calendar quarter. Section 13(f) securities are equity securities of a class described in Section 13(d)(1) of the Securities Exchange Act. See Section 13(d)(1) of the Securities Exchange Act. 

Generally, the list includes exchange-traded (e.g., NYSE, AMEX) or NASDAQ-quoted stocks, equity options and warrants, shares of closed-end investment companies, and certain convertible debt securities. Shares of open-end investment companies, i.e., mutual funds, are not included and, therefore, should not be listed on Form 13F. 

Securities that are not included in the Official List are not required to be reported on Form 13F. See Rule 13f-1(c) under the Securities Exchange Act.

Form 13(f) is a required SEC filing for institutional investment managers (investment advisers, broker-dealers, banks, insurance companies and large internally managed endowments, foundations and pension funds) with generally over $100 million in discretionary equity assets under management.

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