Large trader id lookup

29 Jan 2018 requirements of SEA Rule 13h-1 (Large Trader Rule) from November 1, 2017, to November 15 sheet transactions relating to the SEC Large Trader Reporting Rule (SEA Rule 13h-1). nine characters at present (8+ check. FORM 13-H: Large Trader Reporting. SEC Form Section 16 FAQ – Electronic reporting FAQ View SEC Filings – Search EDGAR database at secinfo.com. 7 May 2012 Large Trader Reporting Rule Impact on Capital Markets Transactions. Background. Last year, the SEC adopted Rule 13h-1 under the Securities When will large Industry Members begin reporting data to the CAT? How should an order be identified when the broker (as opposed to the trader) has price On July, 27th, 2011, the SEC approved Rule 13h-1 and a corresponding Form 13H to establish a new large trader reporting system, which would require large

Trader ID. Trader ID identifies the person who executed a trade without revealing his or her username. Institutional account master users use this page to enable Trader ID and view a list of all Trader IDs and their corresponding users, usernames and account IDs.

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 trader will be required to disclose to its broker-dealers its LTID and indicate to which accounts the LTID applies. 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 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).

12 Oct 2017 As of March 2012, the current effective transaction reporting plans and the Answer: Rule 13h-1(a)(1)(i) defines a “large trader” as a person that the Staff will consider the possibility of allowing large traders to check both

Getting an Identification Number: After it files Form 13H to register with the Commission, the SEC will then assign each large trader a unique large trader identification number (LTID), which will allow the agency to efficiently identify and analyze trading activity by the large trader. A large trader will be required to disclose to its broker

CFTC Large Trader Reporting. OCC provides CFTC Large Trader Reporting services to futures exchanges requesting this service. CFTC regulations requires Reporting Firms to disclose position information to the exchange and to the CFTC on behalf of those accounts carried on their books that meet the reportable level.

Symbol Lookup. The Symbol Lookup provides access to All Issues (NASDAQ and Other Exchanges), Mutual Funds,and Market Participants. All information is as of the current trading day. The Symbol Lookup at this time does not contain a complete list of MPIDs. Only MPIDs used to disseminate quote information are currently included. All publicly-traded companies and certain individuals use EDGAR – the Electronic Data Gathering, Analysis, and Retrieval system – to submit required, time-sensitive documents to the U.S. Securities and Exchange Commission.

Rule 13h-1 requires a “Large Trader” whose transactions in “NMS securities” processed, and made available pursuant to an effective transaction reporting