Sec large trader identification number

10 Nov 2011 that “Large Traders” (i) self-register with the SEC by filing and periodically updating new Form 13H and (ii) provide a unique identifier number  22 Nov 2011 Large traders must self-identify to the SEC by filing an initial Form 13H trader a unique identification number (“LTID”), which the large trader  The SEC assigns a large trader identification number that must be provided to the participants registered broker-dealers. Broker-dealers are then required to 

5 Mar 2018 The SEC assigns each large trade an identification number, and collects information and analyzes each large trader's trading activity. Getting an Identification Number: After a large trader submits a Form 13H to the SEC, they will be assigned a Large Trader Identification Number (LTID). A large  Each large trader shall disclose to the registered broker-dealers effecting transactions on its behalf its large trader identification number and each account to  10 Aug 2011 relationships with registered broker-dealers, and must identify itself and provide its SEC-assigned LTID. (or large trader identification number)  Rule 13h-1(b)(1) requires each Large Trader to identify itself to the SEC by filing Trader is required to identify each entity and the CFTC registration number or 

Final SEC Rule Regulating Large Trader Reporting Sep 22, 2011 Additionally, the Large Trader must describe the business and disclose the market participation identification number (if any) for each of those entities. Item 4(c) requires the provision of the LTIDs, including LTID suffixes, for all entities within the Large Trader that file a

The Commission staff uses data like this to identify large cleared positions in single However, it is useful when a trader is trading through a number of reporting  If the large trader did not assign itself any suffixes, a broker-dealer should append four zeros to the root number (i.e., “-0000”), so that the LTID number contains the full 13 characters (e.g., “12345678-0000”). 1. Large Trader Self-Identification . The Rule requires large traders to self-identify to the Commission on Form 13H and to periodically update their Form 13H submission, 14. obtain a unique large trader identification number (“LTID”) from the Commission, 15. and provide this number to their broker-dealers and . 12. See Rule 13h-1(a)(1). 13 Getting an Identification Number: After it files Form 13H to register with the Commission, the SEC will then assign each large trader a unique large trader identification number (LTID), which will allow the agency to efficiently identify and analyze trading activity by the large trader. A large trader will be required to disclose to its broker-dealers its LTID and highlight all of the accounts at the broker-dealer through which the large trader trades. Getting an Identification Number: After a large trader submits a Form 13H to the SEC, they will be assigned a Large Trader Identification Number (LTID). A large trader will be required to disclose to its broker-dealers its LTID and indicate to which accounts the LTID applies. Under the Rule, a Large Trader must disclose its identification number to all SEC-registered broker-dealers that effect transactions on its behalf and identify for the broker-dealers each account to which the identifier applies.

On May 6 2015 the SEC approved an amended Tick Pilot NMS Plan. Trading information includes the number of shares of each NMS stock or OTC equity which would require large traders to self-identify and file reports with the SEC.

2 Aug 2011 After receipt of an identification number, Large Traders must disclose their identification number to all executing and clearing registered broker- 

calculate average prices by multiplying the number of shares executed at each A Large Trader, as defined in Rule 13h-1, must identify itself to the SEC and 

Upon receipt of Form 13H, the Commission will assign to each large trader an identification number that will uniquely and uniformly identify the trader, which the large trader must then provide to its registered broker-dealers.

U.S. Reporting Obligations For Owners and Traders of U.S. Securities The SEC will assign each large trader an identification number, which must then be 

The Commission staff uses data like this to identify large cleared positions in single However, it is useful when a trader is trading through a number of reporting  If the large trader did not assign itself any suffixes, a broker-dealer should append four zeros to the root number (i.e., “-0000”), so that the LTID number contains the full 13 characters (e.g., “12345678-0000”). 1. Large Trader Self-Identification . The Rule requires large traders to self-identify to the Commission on Form 13H and to periodically update their Form 13H submission, 14. obtain a unique large trader identification number (“LTID”) from the Commission, 15. and provide this number to their broker-dealers and . 12. See Rule 13h-1(a)(1). 13 Getting an Identification Number: After it files Form 13H to register with the Commission, the SEC will then assign each large trader a unique large trader identification number (LTID), which will allow the agency to efficiently identify and analyze trading activity by the large trader. A large trader will be required to disclose to its broker-dealers its LTID and highlight all of the accounts at the broker-dealer through which the large trader trades. Getting an Identification Number: After a large trader submits a Form 13H to the SEC, they will be assigned a Large Trader Identification Number (LTID). A large trader will be required to disclose to its broker-dealers its LTID and indicate to which accounts the LTID applies. Under the Rule, a Large Trader must disclose its identification number to all SEC-registered broker-dealers that effect transactions on its behalf and identify for the broker-dealers each account to which the identifier applies.

Our company files low-cost Large Trader SEC filings. We also make LTID EDGAR filings at very low cost. edgar-services.com is a SEC Large Trader ID filing agent. The Commission staff uses data like this to identify large cleared positions in single However, it is useful when a trader is trading through a number of reporting  If the large trader did not assign itself any suffixes, a broker-dealer should append four zeros to the root number (i.e., “-0000”), so that the LTID number contains the full 13 characters (e.g., “12345678-0000”). 1. Large Trader Self-Identification . The Rule requires large traders to self-identify to the Commission on Form 13H and to periodically update their Form 13H submission, 14. obtain a unique large trader identification number (“LTID”) from the Commission, 15. and provide this number to their broker-dealers and . 12. See Rule 13h-1(a)(1). 13 Getting an Identification Number: After it files Form 13H to register with the Commission, the SEC will then assign each large trader a unique large trader identification number (LTID), which will allow the agency to efficiently identify and analyze trading activity by the large trader. A large trader will be required to disclose to its broker-dealers its LTID and highlight all of the accounts at the broker-dealer through which the large trader trades. Getting an Identification Number: After a large trader submits a Form 13H to the SEC, they will be assigned a Large Trader Identification Number (LTID). A large trader will be required to disclose to its broker-dealers its LTID and indicate to which accounts the LTID applies. Under the Rule, a Large Trader must disclose its identification number to all SEC-registered broker-dealers that effect transactions on its behalf and identify for the broker-dealers each account to which the identifier applies.