The SEC's New Large Trader Reporting Requirements Place New Regulatory Obligations on Both Asset Managers and Broker-Dealers

November 2011


In July 2011, the SEC adopted a new rule and accompanying form to establish a method for the SEC to identify large traders, obtain trading information for such traders and analyze such activity. The "Large Trader Rule" became effective October 3, 2011. The new rule will have significant impact on large traders, as well as on the sell-side firms that interact with large traders.

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