Large trader reporting options
24 Mar 2014 (similar option multiplier for ETFs and index options)… … Initial Filing: A person must “promptly” file an initial Form 13H after its transactions reach The large trader reporting system requires that reports be filed with th. CFTC for futures contracts and options on futures by four primary sources: persons holding Those reports show the futures and option positions of traders that hold positions The new report separates large traders in the financial markets into the Endex Futures and Options contracts. These positions should be included in each reporting firm's daily Electronic Large Trader File (“LGTR”). Each reporting firm 18 Jul 2014 11 As with the large trader reporting program for exchange-traded futures and commodity options, when a Reporting Entity (which, in the case
(1) Transactions. For the purpose of determining whether a person is a large trader, the following shall apply: (i) The volume or fair market value of transactions in equity securities and the volume or fair market value of the equity securities underlying transactions in options on equity securities,
(ii) Voluntarily registers as a large trader by filing electronically with the or sale of such securities pursuant to exercises or assignments of option contracts. Rule 13h-1(a)(1)(i) defines a “large trader” generally as any person who directly or national market system plan for reporting transactions in listed options. 1 Aug 2011 investment discretion with respect to U.S.-listed stocks and options. The final large trader reporting rule modified the SEC's original proposal Is EBS reporting required for OTC Options? Can firms use SIAC to submit Large Trader information to the SEC? Will there be any requirements specific to FINRA or 1 Aug 2011 US Securities - Large Trader Reporting - New Rule 13h-1 purchase or sale of US-listed stocks and options for or on behalf of such accounts, 24 Sep 2015 Special accounts are commodity futures or options accounts in which there are “ reportable positions” in open contracts. A reportable position is 24 Mar 2014 (similar option multiplier for ETFs and index options)… … Initial Filing: A person must “promptly” file an initial Form 13H after its transactions reach
18 Jul 2014 11 As with the large trader reporting program for exchange-traded futures and commodity options, when a Reporting Entity (which, in the case
(ii) Voluntarily registers as a large trader by filing electronically with the or sale of such securities pursuant to exercises or assignments of option contracts. Rule 13h-1(a)(1)(i) defines a “large trader” generally as any person who directly or national market system plan for reporting transactions in listed options. 1 Aug 2011 investment discretion with respect to U.S.-listed stocks and options. The final large trader reporting rule modified the SEC's original proposal Is EBS reporting required for OTC Options? Can firms use SIAC to submit Large Trader information to the SEC? Will there be any requirements specific to FINRA or
1 Aug 2011 US Securities - Large Trader Reporting - New Rule 13h-1 purchase or sale of US-listed stocks and options for or on behalf of such accounts,
For other options and futures, this field is used to report the expiration year and month for an options contract or a delivery year and month for a futures contract. The day portion of the field for these contracts contains spaces. 9. Strike price. This is a signed numeric field for reporting options strike prices. "Large Trader" is defined as a person or entity who, directly or indirectly, through the exercise of "Investment Discretion," effects transactions in exchange-listed equities and options that equal or exceed 2 million shares or $20 million during any calendar day, CFTC Large Trader Reporting. OCC provides CFTC Large Trader Reporting services to futures exchanges requesting this service. CFTC regulations requires Reporting Firms to disclose position information to the exchange and to the CFTC on behalf of those accounts carried on their books that meet the reportable level. Large Options Positions Reporting The OCC has developed and is currently hosting the Large Option Position Reporting (LOPR) system. This system allows firms to submit their LOPR files to OCC to maintain compliance with FINRA Rule 2360(b)(5) and the exchanges' rules. (1) Transactions. For the purpose of determining whether a person is a large trader, the following shall apply: (i) The volume or fair market value of transactions in equity securities and the volume or fair market value of the equity securities underlying transactions in options on equity securities, Accordingly, if a broker-dealer reports the purchase or sale of the underlying security in connection with the exercise or assignment of an options contract and such transaction involves the account of a large trader, then the broker-dealer does not need to supply an LTID number or report any information in the execution time field for the transaction in the underlying security.
26 Sep 2017 Daily Submission of Large Trader, Ownership/Control Reports, report (“ Misreporting Report“) by product, contract month and, for options,.
Large Options Positions Reporting The OCC has developed and is currently hosting the Large Option Position Reporting (LOPR) system. This system allows firms to submit their LOPR files to OCC to maintain compliance with FINRA Rule 2360(b)(5) and the exchanges' rules. (1) Transactions. For the purpose of determining whether a person is a large trader, the following shall apply: (i) The volume or fair market value of transactions in equity securities and the volume or fair market value of the equity securities underlying transactions in options on equity securities, Accordingly, if a broker-dealer reports the purchase or sale of the underlying security in connection with the exercise or assignment of an options contract and such transaction involves the account of a large trader, then the broker-dealer does not need to supply an LTID number or report any information in the execution time field for the transaction in the underlying security.
Is EBS reporting required for OTC Options? Can firms use SIAC to submit Large Trader information to the SEC? Will there be any requirements specific to FINRA or 1 Aug 2011 US Securities - Large Trader Reporting - New Rule 13h-1 purchase or sale of US-listed stocks and options for or on behalf of such accounts, 24 Sep 2015 Special accounts are commodity futures or options accounts in which there are “ reportable positions” in open contracts. A reportable position is 24 Mar 2014 (similar option multiplier for ETFs and index options)… … Initial Filing: A person must “promptly” file an initial Form 13H after its transactions reach The large trader reporting system requires that reports be filed with th. CFTC for futures contracts and options on futures by four primary sources: persons holding Those reports show the futures and option positions of traders that hold positions The new report separates large traders in the financial markets into the