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 firstname.lastname@example.org. Should you fail to apply for a LTID in a reasonable timeframe, GTN may disable your transaction until you have provided the applicable LTID.
If you have any questions about this policy, please write, call, or email us.
4509 Creedmoor Road, Suite 201
Raleigh, NC 27612 United States
Call us: +1 332 230 1184