Category Description Examples Full Reporting Registered management investment companies, regardless of size. ETFs (except unit investment trusts), mutual funds, closed-end funds. Say-on-Pay Only Other institutional managers required to file Form 13F (generally $100M+ in qualifying securities). Hedge funds, banks, insurers, pension funds, endowments, family offices, wealth managers, broker-dealers, non-U.S. managers. No N-PX Requirement Entities not […]
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