Large trader reporting system

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Proposed - SIFMA

Bank products and services are offered through JPMorgan Chase Bank, N.A. and its affiliates. Securities are offered by J.P. Morgan Securities LLC, member FINRA, NYSE

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SEC adopts large trader reporting system - ResearchGate

STROOCK . SPECIAL BULLETIN . CFTC Adoption of Large Trader Reporting and Recordkeeping Rules for Physical Commodity Swaps . November 21, 2011 . Introduction

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SEC Adopts Large Trader Reporting Requirements

SEC Release Adopts New Rule 13h-1 and Form 13H; Large Trader Reporting or an effective national market system plan for reporting transactions in listed

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Large Trader - investopedia.com

This Guidance contains a summary overview of the Large Trader File (“LGTR Each reporting firm should ensure that it has appropriate systems and controls in

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Large Options Positions Reporting

CFTC Ownership and Control Reports. and operated a to identify and report large traders based upon positions using Form

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SEC Release Adopts New Rule 13h-1 - Morrison

SEC Proposes Large Trader Reporting SEC decision to implement a reporting system focused on traders pursuant to 100429_SEC Proposes_Large_Trade_Reporting

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CFTC Staff Issues Relief from Ownership and Control

As part of this program the large trader reporting system was implemented to monitor traders MARKET INSIGHTS CFTC Commitments of Traders Report Update 5

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October 24, 2011 Large Trader Reporting O

The Price Impact of Index Funds in Commodity Futures Markets: Evidence from the CFTC’s Daily by Nicole M. Aulerich, Scott H. Irwin

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Large Trader financial definition of Large Trader

SEC staff will use the Large Trader reporting system to reconstruct trading activity as an aid to detecting fraud or market manipulation.

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Large Trader Reporting Program - CFTC

The large trader reporting requirements are designed to provide the SEC with a transaction information upon request through the Electronic Blue Sheets systems

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SEC Adopts Large Trader Reporting Regime

Large traders will provide this number to their broker of the Securities Exchange Act of 1934 to establish a large trader reporting rule. system – the

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GUIDANCE - the ICE

1 SEC’s Proposal Would Affect Large-Volume, High-Frequency Traders and Their Broker-Dealers April 29, 2010 On April 14, the Securities

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CFTC Adoption of Large Trader Reporting and Recordkeeping

CFE Regulatory Circular RG11-40 Date: December 1, 2011 To: Trading Privilege Holders From: Regulatory Services Division RE: Large Trader Reporting Systems

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Large Trader Reporting FAQs - Shearman & Sterling

Smart Money? The Forecasting Ability of CFTC Large Traders the reports as a component of the market monitoring and Large Trader Reporting System (CFTC).

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CFTC Large Trader Reporting - Options Clearing Corporation

Large Trader ID via Form 13 H on EDGAR LARGE TRADER REPORTING System. EDGAR (Electronic Data Gathering,

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CIRCULAR ICE Futures Europe - Guidance on the Thresholds

2009-11-06 · SEC to Implement Reporting System for Large High-Frequency Firms trader

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The SEC’s New Large Trader Reporting Rule - stblaw.com

Large trader reporting is intended to help the SEC identify individuals engaged in significant market activity in order to analyze their market activity and

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CFTC Adopts Large Trader Reporting Rules | Insights

The Commission adopted a rule to implement its authority under section 13(h) of the Exchange Act to establish a . The rule will help the

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Large Trader Reporting System

Title 17 Part 249 17 CFR Part 249 RIN 3235-AK55 Large Trader Reporting System; Federal Register Vol. 75, Issue PRORULE 2010-9025 III SECURITIES AND EXCHANGE

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CFTC Expands Large Trader Reporting and Increases Customer

Comments Off on Large Trader Reporting Rule systems. Permanent Exemption change to the reporting obligations for Large Traders and for registered broker

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Large Trader ID Number - Interactive Brokers

alert | 2 ropesgray.com Rule would treat transactions in options or on a group or index of securities as transactions in the underlying equity

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SEC Plans Reporting System for Large High-Frequency Firms

Large Trader Reporting Program. Large Trader Record Format. All required records must be submitted together in a single file. Each record is 80 characters long.

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CFTC Ownership and Control Reports | Stay Informed | K&L Gates

The CFTC operates a comprehensive system of collecting information on market participants as part of its market surveillance program. Under regulations set out in

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Large Trader Reporting Program - CFTC

Large Trader Reporting Rules On July 26, 2011, the SEC adopted a new reporting system for “large traders” that will provide the SEC

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SEC Adopts Large Trader Reporting System - Morgan Lewis

creating a large trader reporting system.18 The Commission currently collects transaction data from registered broker-dealers through the EBS system,

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CFTC Final Rule: Large Trader Reporting - MarketsReformWiki

CFTC Staff Issues Relief from Ownership and Control build and test systems to comply with large trader reporting rules for swaps as a “Reportable

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The Price Impact of Index Funds in Commodity Futures

On April 14, 2010, the Securities and Exchange Commission (the “SEC”) proposed a new rule to establish a large trader reporting system.1 The rule would require

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SEC Large Trader Reporting Rule | IB Knowledge Base

2011-07-22 · On July 7, 2011, the Commodity Futures Trading Commission (CFTC) adopted final large trader reporting rules for physical commodity swaps and swaptions. See

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Investment Funds Alert - Akin Gump Strauss Hauer & Feld

2013-11-13 · CFTC Expands Large Trader Reporting and Increases Customer Account Protection Requirements. large trader reporting, ,

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100429 SEC Proposes Large Trade Reporting Regime

Regulatory Circular RG13-009 Date: March 26, 2013 To: The ISG Large Trader Position Reporting System will accept a modified Large Option Reporting System

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Large Trader Reporting Rule - corpgov.law.harvard.edu

Definition of Large Trader in the Financial The SEC voted April 14 to create a large trader reporting system that would enhance its ability to identify large

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Large Trader Reporting Rules - Sullivan & Cromwell

CFTC Large Trader Reporting. OCC provides CFTC Large Trader Reporting services to futures exchanges requesting this service. CFTC regulations requires Reporting Firms