Rule 13h-1 (a) (7) defines the term “identifying activity level” as “aggregate transactions in NMS securities” that are equal to or greater than the specified levels.

Form 13H will allow the Commission to collect background information about large traders, which will contribute to the agency’s ability to conduct investigations and enforcement matters.

2010年7月10日 · The Securities and Exchange Commission ("Commission') is adopting new Rule 13h-1 and Form 13H under Section 13 (h) of the Securities Exchange Act of 1934 ("Exchange Act') to assist the Commission in both identifying, and obtaining trading information on, market participants that conduct a substantial amount of trading activity, as measured by ...

For the purpose of determining whether a person is a large trader, the following shall apply: (i) The volume or fair market value of transactions in equity securities and the volume or fair market value of the equity securities underlying transactions in options on equity securities, purchased and sold, shall be aggregated;

The SEC has adopted Rule 13h-1 under Section 13(h) of the Securities Exchange Act of 1934 (the “Exchange Act”) to establish a large trader reporting system.1 Under this system, broker-dealers maintaining securities accounts for “large traders,” as that term is defined under Rule 13h-1 (the “Rule”), will be required to report ...

Today the SEC adopted new Rule 13h-1 which requires certain large traders to provide certain information regarding their trading activities to the SEC through a New Form 13H. A gross overview of the new reporting requirement are provided below. Who is required to file Form 13H? All “large traders” must file Form 13H.

A large trader can comply with Rule 13h-1 by either the ultimate control person registering and filing Form 13H on a consolidated basis for all accounts that it con-trols; or one or more persons controlled by the large trader collectively complying with respect to all of the large trader’s accounts.4If affiliates comply separately, each ...

Rule 13h-1 under the Securities Exchange Act of 1934 is designed to assist the SEC in identifying and obtaining trading information on market participants that conduct a substantial amount of trading activity, measured by volume or market value, in the U.S. securities markets.

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 traders.

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.