You're Invited to a Complimentary Web Seminar:
Understanding Your Large Trader Responsibilities
Wednesday, November 2, 2011 • 11am ET / 3pm GMT/ 4pm CET

On the heels of the Market Access Rule, another rule has made its way to the forefront. Extending EBS obligations beyond just clearing brokers, the Large Trader Reporting Rule (SEC Rule 13h-1) has implications for both buy- and sell-side firms.

Is your firm ready for December 1? The Financial Information Forum (FIF), Security Trader’s Association (STA) and FTEN, a NASDAQ OMX Company, have partnered for an interactive 45 minute web seminar aimed at helping you better understand 13h-1.

We want YOUR input. Submit your Large Trader questions in advance to LTID@ften.com and we’ll answer them live during the session.


Large Trader Education:

As part of our continuing commitment to educate the market about the various regulatory challenges affecting our industry, FTEN has partnered with FIF and STA to deliver timely information to assist securities industry participants in understanding and effectively implementing procedures to manage new obligations placed by Large Trader Reporting SEC 13h-1.

Visit FTEN’s website to learn more: www.ften.com

Event Details
Wednesday, November 2, 2011
11am ET/ 3pm GMT/ 4pm CET
Online Event

Speakers:

  • Tom Jordan, FIF Advisory Committee Chair
  • Manisha Kimmel, Executive Director, FIF
  • Gary LaFever, Chief Corporate Development Officer, FTEN, a NASDAQ OMX Company
  • Jim Toes, President, STA

Topics covered:

  • Implications for each implementation date: December 1st? April 30th, 2012?
  • What is the rule’s purpose and who is affected?
  • Obligations per your particular firm
  • Your questions!