INSTRUCTIONS FOR FORM 13H Submission of the Form. All submissions on Form 13H must be filed electronically through the Commission’s Electronic Data Gathering, Analysis, and …

Question 2.1: How do I access Form 13H? Answer: Form 13H is an online web-based electronic form available only to persons with EDGAR access.

2010年7月10日 · 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 …

2023年12月28日 · Since 2011, the SEC requires that all traders who execute a substantial amount of trading activity, as measured by volume or market value, identify themselves to the …

A large trader that has not effected aggregate transactions at any time during the previous full calendar year in an amount equal to or greater than the identifying activity level shall become …

Exchange Act Rule 13h-1 (Large Trader Rule) requires “large traders” to identify themselves as such to the SEC, disclose to other firms their large trader status and, in certain situations, …

First, it requires large traders to register with the Commission through a new form, Form 13H. Second, it imposes recordkeeping, reporting, and limited monitoring requirements on certain …

2023年6月27日 · SEC Form 13H is used by large traders to register with the SEC in accordance with the requirements set forth in Section 13(h) of the Securities Exchange Act of 1934. This …

(1) Form 13H. Except as provided in paragraph (b)(3) of this section, each large trader shall file electronically Form 13H (17 CFR 249.327) with the Commission, in accordance with the …

Section 13 (h) of the Exchange Act and Rule 13h-1 thereunder require large traders to make Form 13H filings with the SEC and require broker-dealers to identify and report customers as large …