Sacks, Russell D.; Blankenship, Michael J. - In: Journal of Investment Compliance 13 (2012) 1, pp. 23-29
trader reporting system. Design/methodology/approach – The paper explains the large trader rule and filing requirements …'s) definition of a “large trader”, a “NMS security”, and “person” for purposes of the rule; filing requirements; and the likely …Purpose – The purpose of this paper is to provide frequently asked questions and answers in connection with the large …