The FIF Front Office and Back Office Committee tracks implementation for the SEC Large Trader Reporting at the industry level. The following links point to websites and documents and are updated periodically and maintained on a best efforts basis. Please check the source websites (SEC, Exchange, etc.) for the most current information. Email updates for this page to fifinfo@fif.com
Last updated: November 24, 2015
FIF
- Mar 27, 2015: FIF Large Trader (Rule 13h-1) Exemptive Relief Request
- Jan 25, 2015: Based on meetings with the SEC staff, on Jan 25, 2012, the FIF Large Trader Reporting WG submitted a modified relief request. SEC staff also responded to FIF member questions on Large Trader.
- Jul 1, 2014: FIF Large Trader & Options Draft Relief Request
- Aug 29, 2013: FIF sent a request for FAQs to the SEC.
- Jul 25, 2013: FIF responded to ISG inquiry regarding the reporting of account holder information.
- Nov 6, 2012: FIF submitted an updated relief request to assist the SEC in understanding how they could achieve their surveillance goals if FIF requests for relief were granted. The document also explains the implementation challenges if relief is not granted.
- Oct 24, 2012: Members of the FIF Large Trader Reporting WG met with SEC Trading and Markets Division staff to explain FIF relief requests covering reporting, average price processing and when clearing responsibility is transferred. The group also requested clarification on certain monitoring obligations and reporting. See FIF presentation to SEC and meeting notes
- Jun 6, 2012: STA, FIF and FTEN Large Trader Reporting Webinar
- Feb 15, 2012: STA and FIF Large Trader Reporting Webinar
- Nov 2, 2011: Understanding Your Large Trader Responsibilities, Web Seminar by FIF, STA and FTEN - Now Available for Download
- FIF Large Trader Reporting WG Webpage
SEC
- Oct 30, 2015: SEC 34-76322 - Order Exempting Certain Large Traders From the Self-Identification Requirements of Rule 13h-1 Under the Securities Exchange Act of 1934, and Exempting Certain Broker-Dealers From the Recordkeeping, Reporting, and Monitoring Responsibilities Under the Rule
- Aug 8, 2013: 34-70150 - Order Temporarily Exempting Certain Broker-Dealers and Certain Transactions from the Recordkeeping and Reporting Requirements of Rule 13h-1 under the Securities Exchange Act of 1934
- Apr 3, 2013: SEC Large Trader Rule Temporary Extension Order and TM Homepage
- Apr 23, 2012: SEC Large Trader Reporting Delay Announcement
- Apr 20, 2012: SEC Large Trader Reporting FAQs
- Approved Large Trader Filing
- Aug 3, 2011: Federal Register Version of Approved Filing
- Edgar Filing Website for Form 13H
- Edgar Manual Vol. II updated with Form 13H instructions
- Edgar Filer Management to apply for a CIK Number
- SEC CIK Lookup if a firm is not sure if they have a CIK number
- Comments on Proposed Large Trader Reporting System
FINRA/ISG
- Nov 6, 2015: FINRA Reg Notice 15-44 - FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
- Nov 1, 2013: FINRA published Regulatory Notice 13-38, which states that FINRA and ISG extended the effective date for certain Electronic Blue Sheet data elements in alignment with the August 2013 Large Trader Exemptive Order.
- Oct 31, 2012: FINRA and ISG Publish Updated EBS Record Layout
- Jul 23, 2012: Regulatory Notice 12-36
- Jun 14, 2012: Electronic Blue Sheets FAQs
- Dec 13, 2011: ISG Publishes Enhanced EBS Record Layouts
- EBS Record Layout-Pre-Large Trader (July 28, 2010)
DIRECT EDGE
- Nov 29, 2012: Regulatory Notice #12-08 - Enhanced Electronic Blue Sheet Submissions Update
- Feb 1, 2012: Regulatory Notice #12-02 - Enhancements to Electronic Blue Sheet Submissions
NASDAQ
- Jan 17, 2012: ERA #1 - NASDAQ OMX and ISG Enhance Electronic Blue Sheet Submissions
NYSE
BATS
- Jan 25, 2012: BATS_RC_12-001- BATS Exchange, BATS Y-Exchange and ISG Enhance Electronic Blue Sheet Submissions
CBOE
- Dec 03, 2012: RG12-162 - Enhanced Electronic Blue Sheet Submissions Updates