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How to use or fill out form 13h with our platform
- Click ‘Get Form’ to open it in the editor.
- Begin by selecting the type of filing at the top of the cover page: Initial, Annual, Interim, Inactive Status, or Termination Filing. Fill in the relevant dates and details as required.
- In Item 1, check all applicable business types for the large trader. If you are an individual, select 'Other' and specify your occupation.
- For Item 2, indicate if any forms are filed with the SEC by checking 'Yes' or 'No'. If yes, list the specific forms.
- Complete Item 3 regarding regulated entities by answering whether you or your affiliates are registered under relevant acts. Provide registration numbers where applicable.
- Fill out Schedule 4 with organizational information and ensure to include all jurisdictions if incorporated in multiple locations.
- In Schedule 6, list accounts over which you exercise investment discretion. Include broker-dealer names and account numbers as required.
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