Large Open Positions and Position Limits
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Stock Quote Lookup. Securities Prices. Derivative Warrants. Inline Warrants. Consolidated Reports. The Large Trader Rule applies to any type of agent having Investment Discretion over an account, including broker-dealers, and requires each Large Trader to register if the defined trigger levels are met. Large Traders include regulated and unregulated entities as well as domestic and foreign persons.
Individuals trading for their own account or for an LLC or other entity holding their own assets are also subject to the registration requirements of the Rule.
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Also note that for the purpose of determining the value of shares traded, each option contract is assumed to be equal to shares of its underlying security or other share equivalent, if adjusted by OCC. Filing a Form: A trader who engages in a substantial level of trading activity is required to analyze whether they meet the definition of Large Trader and, if they qualify, identify them self to the SEC by filing a Form 13H with the Commission. The rule provides guidance on certain types of transactions that are excluded for purposes of calculating trading levels. This disclosure requirement applies not only to broker-dealers that carry the accounts including prime brokers and clearing brokers but also to executing brokers, such as Interactive Brokers.
Recordkeeping, Reporting, and Monitoring: The rule requires broker-dealers to maintain and report data when requested by the SEC. In addition, the rule requires broker-dealers to monitor whether their customers meet the threshold levels that define a Large Trader based on transactions handled at the broker-dealer in order to encourage compliance with the requirement for customers to identify themselves as Large Traders to the SEC.