The SEC has enacted a "large trader" reporting rule requiring both foreign and domestic persons or entities employing such persons, including investment advisers, to register with the SEC via Form 13H and obtain a Large Trader Identification Number (LTID) if you are a "Large Trader" as defined by the rule. 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.

A large trader must self-identify by filing Form 13H with the Commission through EDGAR, providing certain information about its operations (including a general description of trading strategies), whereupon the Commission will issue a large trader ID number (“LTID”). 10. Should the Unidentified Large Trader number be populated in the Large Trader Identification 1, 2 or 3 field? According to the staff of the SEC’s Division of Trading and Markets, the SEC prefers to have the Unidentified Large Trader number be populated in the Large Trader Identification 1 field. 11. Large Trader: An investor or organization with trades that are equal to or in excess of certain amounts as specified by the United States Securities And Exchange Commission (SEC). A large trader 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. The aggregate of all large trader positions reported to the Commission usually represents 70 to 90 percent of the total open interest in any given market. The reporting level for large trader reports can range from 25 contracts to over 1,000 contracts. Pursuant to section 801(a)(2)(A) of title 5, United States Code, this is our report on a major rule promulgated by the Securities and Exchange Commission (Commission), entitled "Large Trader Reporting" (RIN: 3235-AK55). Trader Identification Number (TIN) The Guidelines on Trader Identification Number (TIN) provide technical standards and guidance for establishing a globally unique TIN for the exchange of AEO master data and the efficient identification of economic operators.

The SEC has enacted a "large trader" reporting rule requiring both foreign and domestic persons or entities employing such persons, including investment advisers, to register with the SEC via Form 13H and obtain a Large Trader Identification Number (LTID) if you are a "Large Trader" as defined by the rule.

Trader Identification Number (TIN) The Guidelines on Trader Identification Number (TIN) provide technical standards and guidance for establishing a globally unique TIN for the exchange of AEO master data and the efficient identification of economic operators. The Rule requires any person that is a "Large Trader," including individuals managing their own accounts, to register with the SEC using Form 13H and obtain an identification number from the SEC. After receipt of an identification number, Large Traders must disclose their identification number to all executing and clearing registered broker The LT Reporting Rule requires every “large trader” to register with the SEC by filing a new Form 13H, requires that they provide the identities of the broker-dealers they use to the SEC, and Each large trader shall disclose to the registered broker-dealers effecting transactions on its behalf its large trader identification number and each account to which it applies. A large trader on Inactive Status pursuant to paragraph (b)(3) of this section must notify broker-dealers promptly after filing for reactivated status with the – The purpose of this paper is to describe the Securities and Exchange Commission's recently proposed new rules to establish a large trading reporting system., – The paper provides an overview of the new Rule 13h‐1, which, if adopted, would require large traders to identify themselves to the SEC and to be issued a “Large Trader Identification Number”.

The LT Reporting Rule requires every “large trader” to register with the SEC by filing a new Form 13H, requires that they provide the identities of the broker-dealers they use to the SEC, and

The same procedure is used to compare large trader data reported by non-clearing FCMs and foreign brokers to the total positions they are carrying at other brokers or clearing members. Reporting firms are also subject to on-site audits by the exchange and CFTC staff. An example of large trader data for three fictitious traders is given in Table The SEC has enacted a "large trader" reporting rule requiring both foreign and domestic persons or entities employing such persons, including investment advisers, to register with the SEC via Form 13H and obtain a Large Trader Identification Number (LTID) if you are a "Large Trader" as defined by the rule. 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. The suffix is added to the Large Trader ID and appears on the main page. To deactivate, reactivate or terminate a Large Trader ID Number. Click Manage Account > Account Information > Large Trader Identification. Click the blue pen icon in the Status column for the Large Trader ID that you want to deactivate, reactivate or terminate. Click the

The same procedure is used to compare large trader data reported by non-clearing FCMs and foreign brokers to the total positions they are carrying at other brokers or clearing members. Reporting firms are also subject to on-site audits by the exchange and CFTC staff. An example of large trader data for three fictitious traders is given in Table

The same procedure is used to compare large trader data reported by non-clearing FCMs and foreign brokers to the total positions they are carrying at other brokers or clearing members. Reporting firms are also subject to on-site audits by the exchange and CFTC staff. An example of large trader data for three fictitious traders is given in Table The SEC has enacted a "large trader" reporting rule requiring both foreign and domestic persons or entities employing such persons, including investment advisers, to register with the SEC via Form 13H and obtain a Large Trader Identification Number (LTID) if you are a "Large Trader" as defined by the rule. 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.

Large Trader: An investor or organization with trades that are equal to or in excess of certain amounts as specified by the United States Securities And Exchange Commission (SEC). A large trader

The same procedure is used to compare large trader data reported by non-clearing FCMs and foreign brokers to the total positions they are carrying at other brokers or clearing members. Reporting firms are also subject to on-site audits by the exchange and CFTC staff. An example of large trader data for three fictitious traders is given in Table The SEC has enacted a "large trader" reporting rule requiring both foreign and domestic persons or entities employing such persons, including investment advisers, to register with the SEC via Form 13H and obtain a Large Trader Identification Number (LTID) if you are a "Large Trader" as defined by the rule. 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. The suffix is added to the Large Trader ID and appears on the main page. To deactivate, reactivate or terminate a Large Trader ID Number. Click Manage Account > Account Information > Large Trader Identification. Click the blue pen icon in the Status column for the Large Trader ID that you want to deactivate, reactivate or terminate. Click the 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. A large trader must self-identify by filing Form 13H with the Commission through EDGAR, providing certain information about its operations (including a general description of trading strategies), whereupon the Commission will issue a large trader ID number (“LTID”).

In addition, under Rule 13h-1(d)(3), for transactions effected directly or indirectly by or through the account of an Unidentified Large Trader, broker-dealers are also required to maintain information for such Unidentified Large Trader including the person or entity’s name, address, date the account was opened, and tax identification number(s).