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When filing a Form SD, what is the correct period (date) to use for items 1.01 and 1.02?

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When navigating the filing wizard for Form SD, which period should be used for Items 1.01 and 1.02? Is it the period the report relates to (i.e. 12/31/XX)?
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Dato Stemmer
  • Mike Davis
    • Redigert

    Hi Marvin,

    Great question! Form SD is certainly a very nuanced filling that rears its head this time of year. That being said, 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:


    Does that help answer your question?

    Let me know if you have any further questions as well. Thanks and happy filing!

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