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RJ & Makay

Our view of news, events and human capital trends in the financial services industry.
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SEC registration deadline for large traders: December 1

Posted by RJ and Makay on Nov 22, 2011

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SECUnder the Securities and Exchange Commission’s (SEC) newly enacted Rule 13h-1, starting today “large traders” are required to be assigned an identification number that will allow tracking of their transactions.  If a firm or individual meets the SEC’s definition, in today’s trading or hereafter, the firm has 10 days to file Form 13H, which is a Web form.  December 1, 2011 is the deadline for large traders that currently meet the definition.