Requiring More From Large Traders

Law360, New York ( August 30, 2011, 12:55 PM EDT) -- On July 26, 2011, the U. S. Securities and Exchange Commission adopted new Rule 13h-1[1] under Section 13(h) of the Securities Exchange Act of 1934. [2] The rule imposes initial and ongoing filing obligations on "large traders" and subjects the required broker-dealers that service large traders to specified record-keeping, monitoring and reporting requirements. . . .

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