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Aug 4, 2011 submit to the SEC Form 13H as an “Initial Filing" to receive its LTID and file Definition of “Large Trader" and Basic Filing Requirements.
Oct 3, 2011 along with Form 13H, a reporting form designed to enhance the requirements applicable pursuant to Adopted Rules 13h-1(d), (e), and (f).
The Rule contains the following requirements: Getting an Identification Number: After a large trader submits a Form 13H to the SEC, they will be assigned a
Oct 6, 2011 The SEC's adoption of Rule 13h-1 and Form 13H is designed to address certain The large trader reporting requirements have two primary
more information on filing through EDGAR, including instructions on how to Indicate the type of Form 13H filing by checking the appropriate box at the top.
Nov 9, 2011 along with Form 13H, a reporting form designed to enhance the . requirements applicable pursuant to Adopted Rules 13h-1(d), (e), and (f).
Submit the completed Form 13H documents via email or the Compliance Management Portal to our team along with your filing instructions. Using proprietary
Feb 22, 2016 Answer: Such traders may file for inactive status by submitting Form 13H-I through EDGAR (without needing to wait the required full calendar year required by paragraph (b)(3)(iii) of Rule 13h-1), after which no further Form 13H filings would be due unless and until the trader subsequently effects transactions that
Sep 27, 2011 Broker-dealers must comply with the requirements to maintain records, report transaction data when requested, and monitor Large Trader activity by April 30, 2012. After the initial Form 13H all filing Large Traders must file Form 13H annually with the SEC within 45 days after the end of each full calendar year.

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March 2018