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OMB APPROVAL OMB Number: 3235-0682 Expires: March 31, 2018, Estimated average burden hours per response 18 United States Securities and Exchange Commission FORM 13H Large Trader Registration Information
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How to fill out sec form 13h
How to fill out sec form 13h:
01
Obtain a copy of the sec form 13h from the Securities and Exchange Commission (SEC) website or from your broker.
02
Fill in the required information in Part I of the form, including your name, address, and contact information.
03
Provide details about your eligibility for filing the form, such as whether you are an individual or an entity, and if you are filing the form as an adviser or a broker-dealer.
04
Complete Part II of the form by indicating whether you are filing the initial form or an amendment, and provide the relevant dates.
05
Provide information about your securities transactions and holdings in Part III of the form, including the number of shares, the transaction date, and the value of the securities.
06
Disclose any exemption that applies to you in Part IV of the form, if applicable.
07
Complete Part V of the form by providing the required certifications and signatures.
08
Review the completed form for accuracy and make sure all necessary information has been provided.
09
Submit the form to the SEC using the provided address or electronic filing system.
Who needs sec form 13h:
01
Investment advisers: Individuals or entities that qualify as investment advisers under the Investment Advisers Act of 1940 need to file sec form 13h. This includes advisers who meet the threshold requirements for large trader status.
02
Large traders: Large traders who engage in substantial securities transactions and meet the volume threshold specified by the SEC are required to file sec form 13h. This helps the SEC monitor and regulate the activities of large traders in the market.
03
Broker-dealers: Broker-dealers who qualify as large traders and engage in significant securities transactions also need to file sec form 13h. This ensures that the SEC has a comprehensive understanding of the market activities of broker-dealers.
04
Entities holding large positions: Entities that hold large positions in securities, as defined by the SEC, may also be required to file sec form 13h. This allows the SEC to monitor potential market manipulation or systemic risks associated with large holdings.
Overall, filing sec form 13h is necessary for certain individuals and entities involved in securities transactions, enabling the SEC to effectively regulate the market and protect investors.
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What is sec form 13h?
SEC Form 13H is a form filed with the Securities and Exchange Commission (SEC) by large traders who meet certain criteria.
Who is required to file sec form 13h?
Large traders as defined by the SEC are required to file Form 13H.
How to fill out sec form 13h?
SEC Form 13H must be completed with information about the trader's identity, trading activity, and other relevant details.
What is the purpose of sec form 13h?
The purpose of SEC Form 13H is to help the SEC monitor and regulate the trading activity of large traders.
What information must be reported on sec form 13h?
Information such as the trader's identity, type of trading activity, and other relevant details must be reported on SEC Form 13H.
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