Large Trader Identification Form

A Large Trader Identification Form is a filing required by the financial regulator (e.g., U.S. Securities and Exchange Commission (SEC)) from large traders, defined as those whose transactions in National Market System (NMS) securities equal or exceed specified thresholds. The form provides the financial regulator with information about the large trader's identity, business activities, and affiliates to enhance market surveillance and analyze the impact of large traders on the securities market.

IRI: http://lmss.sali.org/R83sNnwSvTMsV9jowtvS2cv
Branch: Document / Artifact

Also known as

Form 13H

Ancestry path

Document / Artifact Document Types Regulatory Document Entity Disclosure Document

Generated from sali-legal/LMSS at 3f9ac0c9357b (2026-03-10). JSON