Form 13H

Large Trader Identification Form - A Large Trader Identification Form is a filing required by the financial regulator (e.g., U.S. Securities and Exchange Commission (SEC)) from large traders, defined as those whose transactions in National Market System (NMS) securities equal or exceed specified thresholds. The form provides the financial regulator with information about the large trader's identity, business activities, and affiliates to enhance market surveillance and analyze the impact of large traders on the securities market.

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Identification

IRI: https://folio.openlegalstandard.org/R83sNnwSvTMsV9jowtvS2cv
Label (rdfs): Large Trader Identification Form
Preferred Label: Form 13H
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Definition and Examples

Definition: A Large Trader Identification Form is a filing required by the financial regulator (e.g., U.S. Securities and Exchange Commission (SEC)) from large traders, defined as those whose transactions in National Market System (NMS) securities equal or exceed specified thresholds. The form provides the financial regulator with information about the large trader's identity, business activities, and affiliates to enhance market surveillance and analyze the impact of large traders on the securities market.
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Class Relationships

Sub Class Of: Entity Disclosure Document
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Additional Information

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Deprecated: False

Metadata

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