13H Large Trader Filing
– Deadline Fast Approaching
Large Trader Filing Due Dates
As a reminder, initial Large Trader filings are due within 10 days of crossing the following threshold:
Aggregate transactions in National Market System securities (i.e., exchange-listed equity securities and standardized option contracts) that are equal to or greater than:
- during a calendar day, either two million shares or shares with a fair market value of US$20M
- during a calendar month, either twenty million shares or shares with a fair market value of US$200M.
How Waystone Compliance Solutions Can Help
If you require assistance with Large Trader reporting or would like to discuss this further, please reach out to our US compliance specialists today.