22 Jul 2011 WHAT'S THE RULE? Under Dodd-Frank, large traders are required to report position data for physical commodity swaps and futures directly to 26 Oct 2011 The rule adopted Wednesday requires large funds to report details of their holdings The data gathered from the new reporting will not be public; only the Commodity Futures Trading Commission, the S.E.C. won't make public or one not easily sold, other traders might gang up to drive the price lower 6 May 2010 In this Market Insights, we consider this SEC rule, the latest In April 2010, the SEC proposed a “large-trader” reporting rule that would require. 20 million shares or $200 million during any calendar month. Use this page to: Add one or more SEC Large Trader ID Numbers to your account . Add a Large October 4, 2019. SEC Adopts Security-Based Swaps Recordkeeping and Reporting. Rules; Compliance Countdown Begins Soon. On Sept. 19, the U.S. Answer: “NMS Security” is defined in Rule 600(b)(46) (17 CFR 242.600(b)(46)) as “any security or class of securities for which transaction reports are collected, processed, and made available pursuant to an effective transaction reporting plan, or an effective national market system plan for reporting transactions in listed options.”
A. Large Trader Status Rule 13h-1 defines a large trader as a person who “directly or indirectly, including through other persons controlled by such person, exercises investment discretion over one or more accounts and effects transactions for the purchase or sale of any National Market System Rule 13h-1 will require a “large trader,” defined as a person whose transactions in NMS securities equal or exceed 2 million shares or $20 million during any calendar day, or 20 million shares or $200 million during any calendar month, to A large trader is an investor or organization with trades that are equal to or in excess of certain amounts as specified by the SEC. Large traders must register with the SEC.
Unfortunately, it is a brief description of SEC's new Large Trader Identification SEC implemented a rule requiring “Large Traders” to self-identify themselves by for reporting has passed (December 1, 2011), the SEC has stated that it may 1 Aug 2011 As a general rule, every large trader must register with the SEC unless someone else in an affiliated group is aggregating that individual or 13 Oct 2011 The large trader reporting requirements have two primary components: (1) registration of large traders with the SEC; and (2) recordkeeping,
Rule 13h–1 Large trader reporting. 13h–1 Large trader reporting. (a) Definitions. For purposes of this section: (1) The term large trader means any person that: (i) Directly or indirectly, including through other persons controlled by such person, exercises investment discretion over one or more accounts and effects transactions for the purchase or sale of any NMS security for or on behalf “large traders”). 2. The Rule requires certain large traders to identify themselves to the Commission on Form 13H. The Rule also requires, among other things, certain broker-dealers to maintain records of large trader transaction information and to report such information to the Commission upon request. The SEC’s Large Trader Reporting Rule Is Now On-Line. The new SEC Rule 13h-1, the large trader reporting rule, became effective. Starting on April 30, 2012, broker dealers will be required to maintain records of large trader trading, similar to records maintained relating to the electronic blue sheet system.
A large trader shall not be required to separately comply with the requirements of this paragraph (b) if one or more persons controlled by such large trader collectively comply with all of the requirements under paragraphs (b)(1), (b)(2), and (b)(4) of this section applicable to such large trader with respect to all of its accounts. A. Large Trader Status Rule 13h-1 defines a large trader as a person who “directly or indirectly, including through other persons controlled by such person, exercises investment discretion over one or more accounts and effects transactions for the purchase or sale of any National Market System Rule 13h-1 will require a “large trader,” defined as a person whose transactions in NMS securities equal or exceed 2 million shares or $20 million during any calendar day, or 20 million shares or $200 million during any calendar month, to A large trader is an investor or organization with trades that are equal to or in excess of certain amounts as specified by the SEC. Large traders must register with the SEC.