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SEC© Form 13H Filing

SEC© Form 13H Filing Resources and Information

The 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©.

A “large trader” is defined as a person whose transactions in exchange-listed securities equal or exceed two million shares or $20 million during any one calendar day, or 20 million shares or $200 million during any calendar month.

Once the 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 became effective October 3, 2011, and large traders will have until December 1, 2011, to file Form 13H.

For access to Securex Form 13H documents, please contact us.

  • Securex Form 13H worksheet SEC© Form 13H Filing word icon
  • Sec Form 13H
  • Sec Rule 13H-1

If you have any questions regarding Form 13H, please review a FAQ provided by the SEC© or contact us.

Securex, as a full service financial printer and registered SEC© filing agent is able to assist your with filing Form 13H. Please contact us to file your Form 13H today.

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