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Form 13H – New Rule 13h-1 requires large investment advisers to register with the SEC

The Securities and Exchange Commission (SEC) recently adopted a new rule (Rule 13h-1) which requires filing of Form 13H.

This new rule is of interest to investment advisers because it requires “large traders” to register by filing new Form 13H with the SEC. Once firms initial Form 13H is filed, the SEC will assign each large trader an identification number (LTID), which the large trader must then provide to its registered broker-dealers. Rule 13h-1 becomes effective October 3, 2011, and large traders will have until December 1, 2011, to file Form 13H.

The final rule is available at: http://www.sec.gov/rules/final/2011/34-64976.pdf

Securex, as a full service financial printer and SEC filing agent, is able to assist your firm with filing Form 13H with the SEC. Please contact us at 877-SEC-FILE for assistance.

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