Large trader id list rxjudou

Large trader id list

10.12.2020

Muntz22343

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. Upon receipt of Form 13H, the SEC will issue the large trader a unique large trader identification number (“large trader ID”). A large trader must disclose its large trader ID to the registered broker-dealers that effect transactions on its behalf, and must disclose to each such registered broker-dealer all accounts held at that broker A large trader shall not be required to separately comply with the requirements of this paragraph (b) if one or more persons controlled by such large trader collectively comply with all of the requirements under paragraphs (b)(1), (b)(2), and (b)(4) of this section applicable to such large trader with respect to all of its accounts. For the large trader reporting system of the Commodity Futures Trading Commission, the law covers the following: 1. The CFTC form 40. 2. The series ’04 reports. 3. Any questions concerning records of your cash, futures, and option positions which you are required to individual, list the reporting trader’s last name, first name, and

Upon receipt of Form 13H, the SEC will issue the large trader a unique large trader identification number (“large trader ID”). A large trader must disclose its large trader ID to the registered broker-dealers that effect transactions on its behalf, and must disclose to each such registered broker-dealer all accounts held at that broker

6 Jan 2020 The SEC's “Frequently Asked Questions Concerning Large Trader Reporting,” response 2.5 says Form 13H Filers may file an amendment and 240.13h-l Large trader reporting. (a) Definitions. For purposes of this section: (1) The term large trader means any person that: (i) Directly or indirectly, including OCC provides CFTC Large Trader Reporting services to futures exchanges requesting this service. CFTC regulations requires Reporting Firms to disclose

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

Answer: For Unidentified Large Traders, broker-dealers should assign their own unique identifying number to each person it identifies as an Unidentified Large Trader. The unique identifier should conform to the format of the LTID (i.e., it should contain 13 characters, including an 8 character root number, followed by a dash, and 4 characters in the suffix field) and should begin with the letters “ULT” (e.g., “ULT00001-0000”). 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 appropriate radio button, then click OK. 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.

A large trader shall not be required to separately comply with the requirements of this paragraph (b) if one or more persons controlled by such large trader collectively comply with all of the requirements under paragraphs (b)(1), (b)(2), and (b)(4) of this section applicable to such large trader with respect to all of its accounts.

Large Trader Identification. 1. For purposes of the SEC Large Trader Reporting Rule (SEA Rule 13h-1), what is the format of the 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) 6 Jan 2020 The SEC's “Frequently Asked Questions Concerning Large Trader Reporting,” response 2.5 says Form 13H Filers may file an amendment and 240.13h-l Large trader reporting. (a) Definitions. For purposes of this section: (1) The term large trader means any person that: (i) Directly or indirectly, including OCC provides CFTC Large Trader Reporting services to futures exchanges requesting this service. CFTC regulations requires Reporting Firms to disclose Information Required of Large Traders Pursuant To Section 13(h) of the Name of Large Trader Filing This Form. LTID. Taxpayer Identification Number LIST OF BROKER-DEALERS AT WHICH THE LARGE TRADER OR ITS SECURITIES SEC Large Trader Reporting System LTID Disclosure Form Please list each J.P. Morgan Securities account number associated with the LTID(s) above.

6 Jan 2019 The SEC's “Frequently Asked Questions Concerning Large Trader Reporting,” response 2.5 says Form 13H Filers may file an amendment and

At a minimum, the chart must include the large trader, its parent company (if applicable), all Securities Affiliates, and all entities identified in Item 3(a) of the Form (if any) (collectively, “Item 4 Affiliates”). Item 4(b) requires that a large trader provide information about the Item 4 Affiliates. 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. 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. Such registered broker-dealers will then be required to Here is an interactive list of Minecraft IDs for all items, blocks, tools, dyes, foods, armor, weapons, mechanisms, transportation, decorations, and potions for Minecraft Java Edition (PC/Mac) 1.15. Each block or item has a unique Minecraft ID Name assigned to it in Minecraft Java Edition (PC/Mac) 1.15.