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SEC

RIN: 3235-AK55

Publication ID: Fall 2011

Title: Large Trader Reporting
Abstract: The Commission adopted a rule to implement its authority under section 13(h) of the Exchange Act to establish a large trader reporting system. The rule will help the Commission identify traders that conduct a substantial volume or large fair market value of trading activity and collect information on their trading activity. Among other things, the information collected could be used to conduct market reconstruction and large-scale investigations of manipulative, abusive, and other illegal trading activity.
Agency: Securities and Exchange Commission(SEC)	Priority: Substantive, Nonsignificant
RIN Status: Previously published in the Unified Agenda	Agenda Stage of Rulemaking: Completed Actions
Major: Yes	Unfunded Mandates: No
CFR Citation: 17 CFR 240.13h-1    17 CFR 249.37
Legal Authority: 15 USC 78m(h)    15 USC 78w(a)

Legal Deadline:  None

Timetable: Action Date FR Cite NPRM  04/23/2010  75 FR 21456    NPRM Comment Period End  06/22/2010     Final Action  08/03/2011  76 FR 40906    Final Action Effective  10/03/2011

Regulatory Flexibility Analysis Required: No	Government Levels Affected: None
Federalism: No
Included in the Regulatory Plan: No
RIN Information URL: www.sec.gov/rules/final/2011/34-64976.pdf
RIN Data Printed in the FR: No
Agency Contact: Richard Holley Division of Trading and Markets Securities and Exchange Commission 100 F Street NE, Washington, DC 20549 Phone:202 551-5614 Email: holleyr@sec.gov