Requires large traders to identify themselves and report their transactions to the SEC.
Rule Overview
Jurisdiction: United States
Regulator:
SEC
Topic:
Reporting
Overview
Further Reading
The rule requires large traders to file Form 13H with the SEC, which includes information about the trader’s identity, accounts, and transactions.
The rule also requires broker-dealers to maintain records of large trader transactions and to report certain information to the SEC upon request.
The rule applies to all large traders, including those that trade through multiple accounts or broker-dealers, and requires them to disclose their large trader status to broker-dealers and to file periodic reports with the SEC.
