Form 13H will allow the Commission to collect background information about large traders, which will contribute to the agency’s ability to conduct investigations and enforcement matters.

Except as provided in paragraph (b) (3) of this section, each large trader shall file electronically Form 13H (17 CFR 249.327) with the Commission, in accordance with the instructions contained therein:

Exchange Act Rule 13h-1 (Large Trader Rule) requires “large traders” to identify themselves as such to the SEC, disclose to other firms their large trader status and, in certain situations, comply with certain …

Learn who needs to file Form 13H, when to file, and how to navigate the process of filing Form 13H.

All “large traders” must file Form 13H. A “large trader” is defined as a person whose transactions in exchange-listed securities equal or exceed two million shares or $20 million during any calendar day, …

Nov 18, 2025 · Schedule 13H is an SEC filing required for 'large traders' who transact in exchange-listed securities equaling or exceeding 2 million shares or $20 million in a calendar day, or 20 million …

Jun 27, 2023 · What is SEC Form 13H? SEC Form 13H is used by large traders to register with the SEC in accordance with the requirements set forth in Section 13 (h) of the Securities Exchange Act of 1934.

Nov 2, 2025 · Large traders must register with the SEC and submit Form 13H when their transactions meet SEC thresholds. The SEC monitors large traders to understand their market impact and …

Jul 20, 2023 · Section 13 (h) of the Exchange Act and Rule 13h-1 thereunder require large traders to make Form 13H filings with the SEC and require broker-dealers to identify and report customers as …

Except as provided in paragraph (b) (3) of this section, each large trader shall file electronically Form 13H (17 CFR 249.327) with the Commission, in accordance with the instructions contained therein: