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What is the Exchange Act Rule 13H?

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, comply with certain filing, recordkeeping and reporting requirements.

Who needs to file Form 13H?

Large traders are required to submit an initial filing on Form 13H within 10 days after the large trader effects aggregate transactions equal to or greater than the identifying activity level.

What is the schedule 13H for the SEC?

Form 13H will allow the Commission to collect background information about large traders, which will contribute to the agencys ability to conduct investigations and enforcement matters. The Commission estimates that the average burden to respond to the Form 13H will be 18 hours.

What happens if you dont file 13H?

Failing to comply with Form 13H requirements can result in severe consequences such as fines or even suspension from trading. Therefore, its crucial for large traders to understand their obligations and comply with the regulations to avoid any legal issues. Large Trader Reporting: A SEC LTID Guide (Updated 2023) wealthyeducation.com large-trader-reporting-sec wealthyeducation.com large-trader-reporting-sec

What is a 13H termination form?

Termination Filing (13H-T): Persons can terminate their status as Large Traders by submitting a Termination Filing. For example, if the person ceases operations, dissolves, or is acquired, the Large Trader may be able to file a Termination Filing. Form 13H Filing Service SEC EDGAR - Newsfile Corp. newsfilecorp.com filing edgar form13h newsfilecorp.com filing edgar form13h

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