The following outlines key compliance and regulatory reporting deadlines for investment advisers and private fund managers in 2026.
These timelines reflect current SEC regulatory requirements and are subject to change as guidance evolves.
Timely and accurate filings are critical to maintaining regulatory compliance and avoiding potential penalties. For questions or jurisdiction-specific considerations, readers may contact our regulatory compliance team.
The currently known deadlines are set out below.
New/Updated Regulatory Requirements
| Date | Obligation | Who is Affected | Key Notes |
| June 3, 2026 | Compliance with SEC’s Amendments to Regulation S-P | Investment advisers under $1.5B AUM | Must implement incident response programs to detect, respond to, and recover from unauthorized access to client information and notify affected clients. |
| Oct 1, 2026 | Joint Amendments to Form PF effective | Large hedge fund advisers & private fund advisers | Enhanced quarterly reporting for large hedge funds, new disclosures for complex fund structures, counterparty exposures. Applies to Q3 2026 quarterly filings. |
Annual Compliance Obligations
| Deadline | Obligation | Notes |
| Mar 31, 2026 | Form ADV Annual Updating Amendment | Update all material changes; ensure IARD fees are paid. |
| Apr 30, 2026 | Annual delivery of Form ADV Part 2A to clients | Must deliver updated disclosure document to clients within 120 days of fiscal year-end if material changes occurred. |
| Apr 30, 2026 | Distribution of audited financial statements to investors | Applies to pooled investment vehicles; 120-day deadline for regular funds, 180-day for funds-of-funds. |
| Apr 30, 2026 | Form PF Annual Update | For private fund advisers (excluding large hedge fund or liquidity fund advisers). |
Quarterly/Periodic Reporting Deadlines
| Deadline | Obligation | Notes |
| Jan 12, Apr 10, Jul 10, Oct 13, 2026 | Quarterly Form 13H Amendment | Large traders must correct any inaccurate Form 13H information within 10 days following quarter-end. |
| Jan 30, Apr 30, Jul 30, Oct 30, 2026 | Quarterly Transaction Reports | Access persons must report transactions involving reportable securities within 30 days after quarter-end. |
| Mar 2, Jun 1, Aug 31, Nov 30, 2026 | Quarterly Form PF Updates | Large hedge fund advisers must update Form PF within 60 days after quarter-end. |
| Mar 2, Jun 1, Aug 31, Nov 30, 2026 | Quarterly Form PF Reporting by Private Equity Fund Advisers | File Section 6 of Form PF for specific reporting events (Adviser-Led Secondary Transactions, GP removal, fund terminations). |
Form 13G / Schedule 13G Filing Windows
| Deadline | Obligation | Notes |
| Monthly (various dates, e.g., Jan 8, Feb 6, Mar 6, Apr 7, May 7, Jun 5, Jul 8, Aug 7, Sep 8, Oct 7, Nov 6, Dec 7, 2026) | Initial or amended Schedule 13G for qualified institutional investors or exempt investors | File within 5 business days after month-end when beneficial ownership exceeds 10% or changes by 5%. |
Other Key Filing Deadlines
| Deadline | Obligation | Notes |
| May 15, Aug 14, Nov 16, 2026 | Form 13F Filings | Advisers holding $100M+ in Section 13(f) securities must file quarterly within 45 days after quarter-end. |
| Aug 31, 2026 | Form N-PX | Proxy voting disclosure for say-on-pay matters for fiscal year July 1–June 30. |
Annual Renewal
| Deadline | Obligation | Notes |
| December 2026 | IARD Annual Renewal | Renewal of state notice filings, representative, and branch registrations. |
