Large Trader Reporting

SEC Rule 13h-1 Large Trader Reporting requires a person/entity that meets the definition of a Large Trader to: (1) Identify itself to the SEC via filing a form 13H (2) Obtain a Large Trader ID (“LTID”) from the SEC, and (3) Provide their LTID to all executing and clearing registered broker-dealers through which they transact in NMS securities and identify each account to which it applies. A Large Trader is defined as a person/entity whose trades in NMS equity securities and/or Listed Options for their own account or any account which they exercise discretion over that equals or exceeds either 2 million shares or $20 million during any calendar day, or 20 million shares or $200 million during any calendar month.

If, at any point in time, you have met or will meet the definition of a large trader, please apply immediately for a LTID from the SEC and report the number to GTN at Should you fail to apply for a LTID in a reasonable timeframe, GTN may disable your transaction until you have provided the applicable LTID.



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