Get 13h Fillable Form

Filling out the 13h Fillable Form is an important step in registering as a large trader with the United States Securities and Exchange Commission. This guide provides clear instructions to help you successfully complete the form online, ensuring that all necessary information is accurately provided.

Follow the steps to easily complete the 13h Fillable Form online.

1. Click ‘Get Form’ button to obtain the form and open it in the editor. This will allow you to access the fillable format of the 13h Fillable Form.
2. Begin by identifying the type of filing at the top of the form. You will need to check the appropriate box for Initial, Annual, Amended, Inactive Status, or Termination Filing.
3. Fill in the Date identifying transactions first effected if this is an Initial Filing. If the filing is voluntary, indicate this by checking the relevant box.
4. Provide your name as the large trader filing this form along with your Large Trader Identification Number (LTID) and Taxpayer Identification Number (TIN).
5. Enter the business and mailing addresses for the large trader. If both addresses are the same, you may note 'same' in the mailing address field.
6. Identify the authorized person who is submitting the form, including their name, title, relationship to the large trader, and contact information.
7. Complete Item 1 by checking applicable boxes that describe the businesses engaged in by the large trader and any affiliates.
8. In Item 2, indicate if the large trader or any of its securities affiliates files any other forms with the SEC, providing the necessary details if applicable.
9. For Item 3, provide information regarding registration with the Commodity Futures Trading Commission and any foreign regulations that may apply.
10. Attach an organizational chart in Item 4(a) and fill out details about all Securities Affiliates as required.
11. Fill out governance information in Item 5, ensuring to indicate the large trader's organization type accurately.
12. List broker-dealers at which the large trader maintains accounts in Item 6, specifying types of services rendered.
13. Review all entered information for accuracy, make any necessary corrections, and sign the form digitally. Ensure you submit the form electronically through the appropriate channel.
14. After completing the form, save your changes, and you may choose to download, print, or share the completed form as required.

Take the next step towards your registration by completing your 13h Fillable Form online today.