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Failure to file form 13h

Form 13h fillable 2025

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The document outlines the requirements for Form 13H, which is used for Large Trader Registration as mandated by the Securities Exchange Act of 1934. It details the information that large traders must provide, including their business activities, SEC filings, CFTC registration, organizational structure, governance, and broker-dealer accounts. The form must be submitted electronically and includes provisions for initial, annual, amended, inactive status, and termination filings. Additionally, it emphasizes the importance of accurate reporting and the potential legal consequences of misstatements.

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Versions	Form popularity	Fillable & printable
2011	4.8 Satisfied (272 Votes)
2010	4.9 Satisfied (38 Votes)

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What is identifying activity level 13H?

Rule 13h-1(a)(7) defines the term identifying activity level as aggregate transactions in NMS securities that are equal to or greater than: During a calendar day, either 2 million shares or shares with a fair market value of $20 million (*aggregate); or.

How do I submit Form 13H?

All submissions on Form 13H must be filed electronically through the Commissions Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system.

When must form 13H be filed?

A mandatory annual filing on Form 13H (Form 13H-A) within 45 days after the end of each full calendar year. A quarterly filing on Form 13H (Form 13H-Q) within 10 days after the end of any calendar quarter if necessary to amend any inaccurate or changed information in its most recent Form 13H filing.