2011 Webinar - Are You a Large Trader? The Answer May Surprise You. What You Should Know if You Are a Large Trader.
Are You a Large Trader? The Answer May Surprise You. What You Should Know if You Are a Large Trader
Thursday, November 10, 2011, 1:00 pm - 2:15 pm EST
Presenter: Mark D. Perlow, Partner, K&L Gates
Moderator: Jennifer S. Choi, Associate General Counsel, IAA
Late this summer, the SEC established the Large Trader Reporting system to enhance the SEC’s ability to identify large market participants, collect information on their trading, and analyze their trading activity. Under Rule 13h-1, all “large traders” are required to identify themselves to the SEC through new Form 13H. Upon receipt of an initial Form 13H, the SEC will assign a unique large trader identification number (LTID) to the large trader, and each large trader then must disclose its LTID and each account to which it applies to the registered broker-dealers effecting transactions on its behalf. Large traders must self-identify to the SEC by December 1, 2011. Through this webinar, learn whether your trading activity qualifies you as a “large trader,” how to comply with Form 13H within a corporate group, and about the specific requirements of Form 13H.
Mark D. Perlow is a partner at the law firm, K&L Gates. Mr. Perlow's practice focuses on investment management and securities law. He regularly represents mutual funds, hedge fund managers, investment advisers, fund boards of directors, and broker-dealers on a variety of regulatory and transactional matters. He has represented clients on a broad range of traditional and novel matters. Prior to joining K&L Gates, Mr. Perlow served as senior counsel in the Office of the General Counsel of the Securities and Exchange Commission from 1998 to 1999, focusing on investment management, fund and corporate governance, and enforcement. He also served in the SEC's Division of Enforcement from 1994 to 1997.
Jennifer S. Choi (moderator) is Associate General Counsel of the Investment Adviser Association. Prior to joining the IAA, Ms. Choi served as Associate Counsel at the Investment Company Institute, where she focused on international and corporate governance issues for the mutual fund industry. Previously, she was Assistant Director in the Division of Investment Management at the U.S. Securities and Exchange Commission. Ms. Choi also is an Adjunct Professor of Law at American University Washington School of Law, where she teaches a course in regulation mutual funds and investment advisers. She received her B.S. degree, cum laude, from the Wharton School, University of Pennsylvania, and her law degree from the George Washington University National Law Center with highest honors. She is a member of the California and District of Columbia Bars.
IAA Members - $125.00 per computer log-on
IAA Associate Members - $125.00 per computer log-on
Non-Members - $200.00 per computer log-on
Registration for this event is closed. To purchase a recording of this webinar, please complete and return a 2011 webinar recording payment form. If you have any questions, please contact the IAA events team at IAAEvents@investmentadviser.org or (202) 293-4222.
Cancellations and substitutions must be received in writing no later than November 4, 2011; there are no refunds for any cancellation received on or later than November 5, 2011.