Large trader reporting rule

§ 20.4 Reporting entities. § 20.5 Series S filings. § 20.6 Maintenance of books and records. § 20.7 Form and manner of reporting and submitting information or filings. § 20.8 Delegation of authority. § 20.9 Sunset provision. § 20.10 Compliance schedule. § 20.11 Diversified commodity indices. Appendix A to Part 20 - Guidelines on Futures Additional information regarding Large Swaps Trader Reporting is provided below, including guidance factsheets for each proposed rule, and details of meetings held between CFTC staff and outside parties. Update: June 22, 2015. Large Trader Reporting for Physical Commodity Swaps: Division of Market Oversight Guidebook for Part 20 Reports One commenter noted that the large trader reporting rule is only one of many proposed new regulations that are being contemplated by Congress and various federal regulators that would affect commercial banks. The Commission is sensitive to the burdens imposed by the large trader rule.

Answer: Rule 13h-1(a)(1)(i) defines a “large trader” as a person that “[d]irectly or indirectly… exercises investment discretion over one or more accounts and effects transactions for the purchase or sale of any NMS security… by or through one or more registered broker-dealer, in an aggregate amount equal to or greater than the identifying activity level.” The Large Trader Rule applies to any type of agent having Investment Discretion over an account, including broker-dealers, and requires each Large Trader to register if the defined trigger levels are met. Large Traders include regulated and unregulated entities as well as domestic and foreign persons. Large Trader Reporting Program The CFTC operates a comprehensive system of collecting information on market participants. Under regulations set out in Parts 15 , 16 , 17 , 18 , 19 , and 21 of the CFTC’s regulations, the Commission collects market data and position information from exchanges, clearing members, futures commission merchants (FCMs), foreign brokers, and traders. For the purposes of this rule, a registered broker-dealer shall be deemed not to know or have reason to know that a person is a large trader if it does not have actual knowledge that a person is a large trader and it establishes policies and procedures reasonably designed to: (1) Identify persons who have not complied with the identification requirements of paragraphs (b)(1) and (b)(2) of this section but whose transactions effected through an account or a group of accounts carried by such A large trader that has not effected aggregate transactions at any time during the previous full calendar year in an amount equal to or greater than the identifying activity level shall become inactive upon filing a Form 13H (17 CFR 249.327) and thereafter shall not be required to file Form 13H or disclose its large trader status unless and until its transactions again are equal to or greater than the identifying activity level.

26 Jul 2011 The Large Trader Reporting Rule requires large traders to register with the SEC and obtain a large trader ID (“LTID”). The. Rule defines a large 

Form 13H – Large Trader Reporting Requirement Rule 13h-1 Adopted by SEC Today the SEC adopted new Rule 13h-1 which requires certain large traders to provide certain information regarding their trading activities to the SEC through a New Form 13H. The large trader reporting rule is intended to: Help the SEC identify market participants engaged in substantial trading activity. Obtain information needed to monitor more efficiently the impact of those trades on the markets. Large trader reporting is intended to help the SEC identify individuals engaged in significant market activity and to analyze the impact of their trading activity. Recently, the Securities and Exchange Commission (“SEC”) adopted its proposed Large Trader reporting rule, Rule 13h-1, 1 along with Form 13H, a reporting form designed to enhance the ability of the SEC to identify large market participants, Rule 13h-1 will require a “large trader,” defined as a person whose transactions in NMS securities equal or exceed 2 million shares or $20 million during any calendar day, or 20 million shares or $200 million during any calendar month, to identify itself to the Commission and make certain disclosures to the Commission on Form 13H. Rule 13h–1 Large trader reporting. 13h–1 Large trader reporting. (a) Definitions. For purposes of this section: (1) The term large trader means any person that: (i) Directly or indirectly, including through other persons controlled by such person, exercises investment discretion over one or more accounts and effects transactions for the purchase or sale of any NMS security for or on behalf 1. Report Type. This report format will be used to report three types of data: long and short futures and options positions, futures delivery notices issued and stopped, and exchanges of futures for physicals bought and sold. Valid values for the report type are "RP" for reporting positions, "DN

Current reporting levels are found in CFTC Regulation 15.03(b). If, at the daily market close, a reporting firm has a trader with a position at or above the 

18 Sep 2015 The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Australia  The Securities and Exchange Commission (SEC) has adopted Rule 13h-1 For additional information on the Large Trader Reporting requirement, please visit  SDR reporting and recordkeeping rules under CFTC Regulations Part 45, real- time reporting under Part 43, large-trader reporting, swap data recordkeeping,  14 Jun 2018 The Petition also requests that the Commission sunset the Part 20 swaps large trader reporting rule. The Commission designed Part 20 as a  26 Jul 2011 Rule 13h-1 Adopted by SEC. Today the SEC adopted new Rule 13h-1 which requires certain large traders to provide certain information  25 Aug 2017 futures and swap markets (“the OCR Final Rule”). Exchange's large trader reporting levels and the CFTC's large trader reporting thresholds  6 Feb 2019 Form 13H: Reporting Identifying Information for Large Traders. Rule 13h-1 of the Exchange Act requires a Form 13H to be filed with the SEC by 

Additional information regarding Large Swaps Trader Reporting is provided below, including guidance factsheets for each proposed rule, and details of meetings held between CFTC staff and outside parties. Update: June 22, 2015. Large Trader Reporting for Physical Commodity Swaps: Division of Market Oversight Guidebook for Part 20 Reports

3 Dec 2019 Under Rule 13d-3 of the Exchange Act, “beneficial ownership” of a Further information regarding the SEC's Large Trader reporting and the  Answer: Rule 13h-1(a)(1)(i) defines a “large trader” as a person that “[d]irectly or indirectly… exercises investment discretion over one or more accounts and effects transactions for the purchase or sale of any NMS security… by or through one or more registered broker-dealer, in an aggregate amount equal to or greater than the identifying activity level.” The Large Trader Rule applies to any type of agent having Investment Discretion over an account, including broker-dealers, and requires each Large Trader to register if the defined trigger levels are met. Large Traders include regulated and unregulated entities as well as domestic and foreign persons.

3 Dec 2019 Under Rule 13d-3 of the Exchange Act, “beneficial ownership” of a Further information regarding the SEC's Large Trader reporting and the 

SDR reporting and recordkeeping rules under CFTC Regulations Part 45, real- time reporting under Part 43, large-trader reporting, swap data recordkeeping,  14 Jun 2018 The Petition also requests that the Commission sunset the Part 20 swaps large trader reporting rule. The Commission designed Part 20 as a  26 Jul 2011 Rule 13h-1 Adopted by SEC. Today the SEC adopted new Rule 13h-1 which requires certain large traders to provide certain information  25 Aug 2017 futures and swap markets (“the OCR Final Rule”). Exchange's large trader reporting levels and the CFTC's large trader reporting thresholds  6 Feb 2019 Form 13H: Reporting Identifying Information for Large Traders. Rule 13h-1 of the Exchange Act requires a Form 13H to be filed with the SEC by  3 Dec 2019 Under Rule 13d-3 of the Exchange Act, “beneficial ownership” of a Further information regarding the SEC's Large Trader reporting and the  Answer: Rule 13h-1(a)(1)(i) defines a “large trader” as a person that “[d]irectly or indirectly… exercises investment discretion over one or more accounts and effects transactions for the purchase or sale of any NMS security… by or through one or more registered broker-dealer, in an aggregate amount equal to or greater than the identifying activity level.”

The large trader reporting rule is intended to: Help the SEC identify market participants engaged in substantial trading activity. Obtain information needed to monitor more efficiently the impact of those trades on the markets. Large trader reporting is intended to help the SEC identify individuals engaged in significant market activity and to analyze the impact of their trading activity. Recently, the Securities and Exchange Commission (“SEC”) adopted its proposed Large Trader reporting rule, Rule 13h-1, 1 along with Form 13H, a reporting form designed to enhance the ability of the SEC to identify large market participants, Rule 13h-1 will require a “large trader,” defined as a person whose transactions in NMS securities equal or exceed 2 million shares or $20 million during any calendar day, or 20 million shares or $200 million during any calendar month, to identify itself to the Commission and make certain disclosures to the Commission on Form 13H. Rule 13h–1 Large trader reporting. 13h–1 Large trader reporting. (a) Definitions. For purposes of this section: (1) The term large trader means any person that: (i) Directly or indirectly, including through other persons controlled by such person, exercises investment discretion over one or more accounts and effects transactions for the purchase or sale of any NMS security for or on behalf 1. Report Type. This report format will be used to report three types of data: long and short futures and options positions, futures delivery notices issued and stopped, and exchanges of futures for physicals bought and sold. Valid values for the report type are "RP" for reporting positions, "DN Under the Rule, every registered broker-dealer must maintain records for all transactions effected directly or indirectly by or through (i) an account that the registered broker-dealer carries for a Large Trader or an Unidentified Large Trader or (ii) if the registered broker-dealer is a Large Trader, any proprietary or other account over which