Shearman & Sterling LLP multinational law firm headquartered in New York City, United States.

Jun 20, 2012

Large Trader Reporting Rule: A Temporary Reprieve for Broker-Dealers and Broadening of Exemptions for Capital Markets Transactions

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On April 23, 2012, the US Securities and Exchange Commission (“SEC”) issued an order temporarily exempting registered broker-dealers from the Large Trader Identification requirements under Rule 13h-1 (the “Rule”). This temporary exemption was issued in anticipation of the Rule’s original effective date of April 30, 2012, providing covered broker-dealers with additional time to ensure compliance with the recordkeeping, reporting, and monitoring requirements under the Rule. In addition, the SEC granted a permanent exemption for certain capital market transactions for the purposes of the large trader identification requirements.

View full memo, "Large Trader Reporting Rule: A Temporary Reprieve for Broker-Dealers and Broadening of Exemptions for Capital Markets Transactions"

著者等

Charles Gittleman

オブ・カウンセル

金融機関助言・金融規制

+1 212 848 7317

+1 212 848 7317

ニューヨーク

Russell Sacks

パートナー

金融機関助言・金融規制

+1 212 848 7585

+1 212 848 7585

ニューヨーク