Form 13H Reminder

As per SEC Rule 13h-1, all registered “Large Traders” must submit a Form 13H Annual Filing by Friday, February 14 2014; 45 days after the end of a full calendar year. Rule 13h-1 defines a Large Trader as a person or entity whose transactions in NMS securities equal or exceed (a) 2 million shares or shares with a fair market value of $20 million during any calendar day, or (b) 20 million shares or shares with a fair market value of $200 million during any calendar month, in aggregate.

Please note that amendments to Form 13H must be filed promptly following the end of a calendar quarter in the event that any of the information contained in a Form 13H filing becomes inaccurate for any reason.

For those advisers not currently registered as Large Traders, please note that you may be required to do so (within 10 days) if you effect aggregate transactions equal to or greater than the above stated activity levels.

Form 13H Reminder 2014-01-14T00:00:00.0000000 /insights/publications/compliance-and-regulatory-consulting/form-13h-reminder publication {DA6CC51B-740E-439A-B283-2BBFB5326BAA} {DE05ECA4-1852-4BEF-A4E1-491CB497F9CB} {65648E61-ED08-40DF-AEE6-DB90ABD49289} {1C3CB363-1B9A-40E2-AF19-5C433260F861} {95D7F66C-11BB-4E7D-B07C-48874A321F98}

Related Services

Duff & Phelps Compliance and Regulatory Consulting

Compliance and Regulatory Consulting

By Jurisdiction

Regionally targeted assistance for asset managers in compliance program development, implementation and maintenance

By Jurisdiction
Duff & Phelps Valuation Advisory Services

Valuation Advisory

Portfolio Valuation

Alternative investment valuation for private equity and hedge funds.

Portfolio Valuation
Duff & Phelps Compliance and Regulatory Consulting

Compliance and Regulatory Consulting

EU Regulation

Comprehensive compliance and regulatory support for EU firms.

EU Regulation

Insights