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When filing a Form SD, what is the correct reporting period to use when setting up the filing package?

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  • Mike

    Hi Andrea!

    Great question. I always forget about that lovely Form SD until this time of year, when it rears its head and I have to remember its pesky nuances. That being said, I'm happy to assist you here.

    Regarding your first question, the correct period of report date for either Item 1.01 or 1.02 is the year-end date of the reporting period, most commonly 12/31/20XX. On the SEC's example form, they also state the following:

    As far as your second question goes, if you've entered the wrong reporting date for the filing package itself, that's no worry. This is actually not needed on this form type, and as you actually enter the Period of Report in the Form Information step, which you can revisit if you've entered it wrong there.

    Our Product Team is working to remove the Reporting Period option from forms that don't require it, to avoid confusion like this.

    Hopefully this helps. Let me know what questions you have on the above, or if you need anything else. Thanks for your contributions and happy filing!

     

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  • Jonathan Gregory

    I just went through this today for the first time in Next Gen for our Form SD. Instead of removing the Reporting Period requirement during filing, the Product Team should make it a duration as required on the SEC cover, for example, January 1 to December 31, 2019.

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