Transcription of SECURITIES AND EXCHANGE COMMISSION 17 CFR PARTS …
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SECURITIES AND EXCHANGE COMMISSION 17 CFR PARTS …
SECURITIES AND EXCHANGE COMMISSION 17 cfr parts 240 and 249 Release No. 34-64976; File No. S7-10-10 RIN 3235-AK55 Large Trader Reporting AGENCY: SECURITIES and EXCHANGE COMMISSION . ACTION: Final rule. SUMMARY: The SECURITIES and EXCHANGE COMMISSION ( COMMISSION ) is adopting new Rule 13h-1 and Form 13H under Section 13(h) of the SECURITIES EXCHANGE Act of 1934 ( EXCHANGE Act ) to assist the COMMISSION in both identifying, and obtaining trading information on, market participants that conduct a substantial amount of trading activity, as measured by volume or market value, in the SECURITIES markets. Rule 13h-1 will require a large trader, defined as a person whose transactions in NMS SECURITIES equal or exceed 2 million shares or $20 million during any calendar day, or 20 million shares or $200 million during any calendar month, to identify itself to the COMMISSION and make certain disclosures to the COMMISSION on Form 13H.
Oct 03, 2011 · SECURITIES AND EXCHANGE COMMISSION . 17 CFR PARTS 240 and 249 . Release No. 34-64976; File No. S7-10-10 . RIN 3235-AK55 . Large Trader Reporting . AGENCY: Securities and Exchange Commission. ACTION: Final rule. SUMMARY: The Securities and Exchange Commission (“Commission”) is adopting new Rule 13h-1 and Form 13H under …
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