News & Analysis as of

Securities and Exchange Commission (SEC) Larger Participant

Katten Muchin Rosenman LLP

SEC Order Temporarily Exempting Certain Broker Dealers and Certain Transactions from the Recordkeeping and Reporting Requirements...

Rule 13h-1 (the “Large Trader Rule”) under the Securities Exchange Act of 1934 requires that market participants that conduct a substantial amount of trading activity, as measured by volume or market value, in US securities...more

Broker-Dealer Compliance + Regulation

SEC Delays Effectiveness of Large Trader Reporting for Some Broker-Dealers

The SEC’s “large trader” rules that apply to clearing firms and certain other firms will kick in this November. Thanks to a recent SEC release, some firms are getting a two-year compliance reprieve, but they must develop the...more

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