Category: LARGE TRADER REPORTING

Large Trader Reporting requirements are mandated by regulatory authorities such as the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) in the United States. These regulations compel individuals or entities engaged in substantial trading activities within securities and commodities markets to disclose comprehensive information to ensure market transparency, monitor systemic risks, and detect potential market manipulation or abusive trading practices. Large traders must periodically submit detailed reports outlining their positions, transactions, and other pertinent data, including identification details and trade volumes. This data enables regulators to analyze market behavior, enforce compliance with trading rules, and intervene swiftly in instances of irregularities or threats to market stability. Non-compliance with these reporting requirements can lead to significant penalties and regulatory actions imposed by the SEC or CFTC to uphold market integrity and investor protection.

CFTC-PR-8902-24

File ID:  CFTC-PR-8902-24 Date:  April 30, 2024 Accessed:  June 20, 2024 Headline:  Commodity Futures Trading Commission Approves Final Rules on Large Trader Reporting for Futures and Options. Source:   https://www.cftc.gov/PressRoom/PressReleases/8902-24 Categories: AGENCY RULES-CHANGES CFTC RULES-CHANGES FUTURES COMMISSION MERCHANTS (FCM) LARGE TRADER REPORTING CFTC-PR-8902-24 – Viewer: ▼▼▼ (Download PDF File )