Understanding the SEC 13(f) Securities List
The SEC maintains an official list of "Section 13(f) securities" that must be reported on Form 13F. Only securities on this list require disclosure.
What Are Section 13(f) Securities?
Section 13(f) of the Securities Exchange Act defines reportable securities as:
- Exchange-traded equity securities (stocks on NYSE, NASDAQ, etc.)
- Equity options and warrants
- Closed-end investment company shares
- Certain convertible debt securities
The SEC publishes the definitive list quarterly, and only securities appearing on that list should be reported.
What's NOT on the List
These securities are generally not Section 13(f) securities:
- Open-end mutual funds
- Most ETFs (some closed-end ETFs are included)
- Fixed income securities (bonds, treasuries)
- Foreign securities not traded on U.S. exchanges
- Private placements
- Limited partnerships
Common Mistake
Don't report securities that aren't on the 13(f) list, even if they seem similar to reportable securities. Only exact CUSIP matches from the official list should be included.
Accessing the Official List
The SEC publishes the 13(f) securities list on their website:
The list is updated quarterly and contains:
- CUSIP - 9-character identifier
- Issuer Name - Company name (use exactly as shown)
- Title of Class - Security type (COM, CL A, etc.)
- Status - Any special indicators
List Updates
The SEC typically updates the list:
- Q1 list: Published late March/early April
- Q2 list: Published late June/early July
- Q3 list: Published late September/early October
- Q4 list: Published late December/early January
Always use the list effective for the quarter you're reporting.
Using Our CUSIP Lookup
Our 13F Builder includes the complete SEC list, making it easy to:
- Search by ticker symbol (e.g., "AAPL")
- Search by company name (e.g., "Apple")
- Search by CUSIP (e.g., "037833100")
- Auto-fill issuer name and title of class
- Verify your holdings are reportable