If you have any questions or require additional information, please contact your J.P. Morgan Securities. Financial Advisor. Client Name: Large Trader Identification 1 Aug 2011 The large trader must advise the US-registered broker-dealer of all accounts held at that broker-dealer to which the ID applies. Large traders may 11 Mar 2020 CAT, broker dealers are required to submit significant customer account information (e.g., name, address, Large Trader ID, year of birth, etc.). 2 Aug 2011 After receipt of an identification number, Large Traders must disclose their identification number to all executing and clearing registered
12 Oct 2017 Large Trader Identification. Question 1.1: What is an NMS Security? Answer: “ NMS Security” is defined in Rule 600(b)(46) (17 27 Jul 2011 trader identification requirements of Rule 13h-1. The large trader reporting requirements are designed to provide the Commission with a. 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
Large Trader ID Number Any trader who fits the definition of Large Trader according to the SEC must register with the SEC by filing SEC Form 13H . The SEC will assign every Large Trader an identification number called the Large Trader ID Number. 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 The large trader positions reported by clearing members are compared to clearing-member data reported by the exchanges. An inquiry is made to the appropriate exchange if: the sum of a clearing member’s large trader positions exceeds the member’s open cleared position; or; a clearing member has a cleared position many times the reporting level for a given market, but reports few or no large trader positions. The new rule requires large traders to identify themselves to the SEC, which will then assign each trader a unique identification number. Large traders will provide this number to their broker-dealers, who will be required to maintain transaction records for each large trader and report that information to the SEC upon request. 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. Such registered broker-dealers will then be required to The Form also requires that a large trader input its Taxpayer Identification Number. The Form further requires a large trader to input its business and mailing addresses. If those addresses are the same, for the mailing address field, the large trader may either input its address again or input “same.” SEC 2858 (11-11) Large Trader ID (LTID) Phase 3 of the Large Trader Implementation plan for broker-dealers is now going to be incorporated into the CAT infrastructure, rather than the original plan to report through the Electronic Blue Sheet (EBS) platform.
The data are aggregated to protect the identity of any individual reportable trader. Since traders frequently carry futures positions through more than one broker 24 Mar 2014 SEC Registration Form 13H to obtain a SEC Large Trader ID number (LTID). The broker needs that LTID in order to comply with the SEC Lar. 27 Sep 2011 Large Traders must register with the SEC by filing Form 13H The SEC will assign each filing Large Trader a Large Trader identification.
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 A "Large Trader" is any U.S. or non-U.S. person or entity that trades or controls trading (in one or more accounts ) in U.S. exchange-listed stock AND option trans Each large trader shall disclose to the registered broker-dealers effecting transactions on its behalf its large trader identification number and each account to Please complete this form if you have registered as a large trader with the SEC and have received a large trader ID applicable to any accounts through which 10 Aug 2011 SEC Adopts Rules Requiring Large Traders to File a New Form 13H (or large trader identification number) to the registered broker-dealers