Form 13h securities affiliate

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August undefined, 2024

WebThe term “Securities Affiliate” means an affiliate of the large trader that exercises ... Indicate the type of Form 13H filing by checking the appropriate box at the top of the … WebJan 21, 2012 · The initial filing (Form 13H) is required to be filed within 10 days of crossing the transaction threshold outlined above. After submitting this filing, the trader is given a …

SEC Adopts Large Trader Reporting Regime Akin

WebAug 22, 2011 · Form 13H permits a large trader to assign LTID suffixes to identify various sub-groups under its control, the use of which may diminish the need for the SEC to … WebUnited States Securities and Exchange Commission FORM 13H Large Trader Registration Information Required of Large Traders Pursuant To Section 13(h) ... Item 4(c) requires that a large trader identify all affiliates that file a separate Form 13H. Those affiliates will have a different LTID. Item 4(d) permits a large trader to assign LTID ... hillside shopping center hillside il

Section 13 Filings: What You Need to Know - CompSci Resources

WebApr 14, 2024 · Nisun International Enterprise Development Group Co., Ltd ("Nisun" or the "Company") (Nasdaq: NISN), a provider of innovative comprehensive solutions through an integration of technology, industry ... Webfile on Form 13H and identify itself as the Large Trader on behalf of the group, thus removing the requirement of the 7 Filers on Inactive Status do not need to file Amended … WebDec 3, 2024 · Form 13H requires that a Large Trader, reporting for itself and for any affiliate that exercises investment discretion over NMS Securities, list the broker-dealers at which … smart lifepower monitor

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Form 13H Filing Service SEC EDGAR - Newsfile Corp

WebJan 21, 2012 · Form 13H is a required form for large traders whose exchange-listed equity securities equal or exceed two million shares or $20 million during any calendar day, or 20 million shares or $200 million during any calendar month. The initial filing (Form 13H) is required to be filed within 10 days of crossing the transaction threshold outlined above. WebSEC Form 13H is filed via the SEC’s EDGAR (Electronic Data Gathering, Analysis, and Retrieval) computer system for the receipt, acceptance, review and dissemination of … smart lift gulf coastWebIn sum, a parent company must register as a large trader by filing Form 13H and must account for the aggregate transactions of all of its affiliates in its registration, unless an … hillside smokehouse mount bethel

"WebThe U.S. Securities and Exchange Commission (the "SEC") has adopted Rule 13h-1 (the "Rule") under the Securities Exchange Act of 1934 with respect to large trader registration. The Rule requires persons that qualify as a "large trader" (as defined below) to file Form 13H with the SEC to receive a large trader identification number (a "LTID").Large traders … " - Form 13h securities affiliate

Form 13h securities affiliate

SEC Adopts Large Trader Reporting Regime Akin

WebSep 26, 2011 · Form 13H requires that large traders provide certain information about their operations and organization, as well as the operations and organization of any affiliate it controls that trades... http://www.sewkis.com/wp-content/uploads/SEC-Form_13H.pdf

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WebJan 14, 2024 · For example, Form 13H includes a list of brokers-dealers that the advisor, or the advisor’s affiliates, utilize for trading eligible securities. If this list of broker-dealers changes, Form 13H must be amended promptly in …

WebAug 2, 2011 · Form 13H will require (i) the name and contact information of the Large Trader and its authorized person, (ii) the businesses of the Large Trader and each affiliate that exercises investment discretion over NMS securities (a “Securities Affiliate”), (iii) the names of any forms that the Large Trader and its Securities Affiliates file with the … WebDec 7, 2011 · Form 13H requires disclosures relating to six items: (1) the business of the Large Trader and each affiliate that exercises investment discretion over NMS securities (a “Securities Affiliate”); (2) other forms filed with the SEC by the Large Trader or any of its Securities Affiliates; (3) information regarding whether the Large Trader or its …

WebIndicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter). WebAug 16, 2011 · The Form 13H filing will require that a large trader report a significant amount of information regarding itself and its affiliates, including, without limitation: contact information; general information concerning the business and the nature of the operations of both the large trader and any affiliate of the large trader that exercises …

WebSEC Form 13H is filed via the SEC’s EDGAR (Electronic Data Gathering, Analysis, and Retrieval) computer system for the receipt, acceptance, review and dissemination of documents submitted in electronic format to the Commission. As these filings typically contain confidential information, they are not made publicly available.

WebAug 2, 2011 · Form 13H is a short, simple form that is filed electronically through EDGAR. Persons who do not already have an SEC filing access code must first apply for one by filing Form ID. If the Large Trader is filing on a voluntary basis, it may file Form 13H at any time and thereby reduce the need to actively monitor its trading levels. hillside social security office phone numberhttp://www.portfoliomanagement.org/wp-content/uploads/2012/04/16754853_2.pdf smart lift fort worth txWebThe SEC has also adopted Form 13H under Exchange Act Section 13(h). A large trader must submit to the SEC Form 13H as an “Initial Filing” to receive its LTID and file various … hillside spain new media plcWebThe LTID is a unique identifier assigned by the Securities and Exchange Commission (SEC) to large traders to monitor their trading activity and prevent market manipulation. The Securities Exchange Act of 1934 established the LTID system, which requires large traders to register with the SEC and file initial Form 13H filings to obtain their LTID. smart lifestyle distributor shah alamWebFeb 19, 2024 · The Rule requires large traders to: File Form 13H. Be assigned a Large Trader Identification Number (LTID) by the SEC. Disclose the LTID to every broker-dealer executing transactions on behalf of the large trader. Meet certain recordkeeping requirements (for broker-dealers only). RULE 13H-1 COMPLIANCE CONSIDERATIONS … hillside small engine repair star prairie wiWebAnnual Filing (13H-A): All Large Traders must submit an Annual Filing of Form 13H within 45 days after the end of each full calendar year. Filers may submit an amended fourth … smart light 1000WebAug 1, 2011 · Rule 13h-1 (a) (1) (i) defines a "large trader" generally as any person who directly or indirectly (including through other controlled persons) exercises investment discretion over one or more accounts and effects transactions in NMS securities for such accounts, through one or more registered broker-dealers, in an aggregate amount equal … smart lift monitoring