Regulatory Reporting

This walks you through the SEC and FINRA filing calendar for investment advisers and broker-dealers. It covers Form ADV amendment timing (annual updates versus prompt amendments), Form PF thresholds and the new 72-hour current reporting rules for hedge funds, 13F institutional holdings if you cross $100M, and CAT reporting infrastructure. Also handles FOCUS reports, blue sheet requests, and short interest filing obligations. Use it when building compliance calendars, designing reporting workflows, or figuring out whether a fund qualifies as a large private fund adviser under the quarterly PF regime. The detail on what triggers a prompt ADV amendment versus what can wait for the annual cycle is genuinely helpful.

skills.sh installs: 707
GitHub stars: 224
last updated: Aug 21, 2026

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$ npx -y skills add joellewis/finance_skills --skill regulatory-reporting --agent claude-code

Installs into .claude/skills of the current project.

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Regulatory Reporting

Regulatory status current as of June 2026 — verify effective dates, dollar thresholds, and pending rulemakings against current SEC/FINRA/FinCEN sources before advising.

Core Concepts

Form ADV Amendments

Registered investment advisers must keep Form ADV current through two amendment mechanisms:

Annual updating amendment — Must be filed within 90 days of the adviser's fiscal year end (Rule 204-1 under the Investment Advisers Act of 1940). The annual amendment requires the adviser to review and update all items on Form ADV Parts 1, 2A, and 2B. The adviser must also deliver or offer to deliver the updated brochure (Part 2A) to existing clients within 120 days of fiscal year end, along with a summary of material changes.

SKILL.md on GitHub