Federal Register, Volume 76, Number 149, August 3, 2011, Pages 46595-47054 Page: 47,007
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Federal Register/Vol. 76, No. 149 /Wednesday, August 3, 2011 /Rules and Regulations
is registered with the Commodity
Futures Trading Commission in any
capacity, including as a "registered
trader" pursuant to Sections 4i and 9 of
the Commodity Exchange Act. If it
checks "Yes," the large trader must
input the name of each such entity and
the registration number for each such
Item 3(b) requires the large trader to
indicate whether it or any of its
Securities Affiliates is regulated by a
foreign regulator. Unlike Item 3(a), Item
3(b) applies only to the large trader and
its Securities Affiliates. If it checks
"Yes," the large trader must input the
name of each such regulated entity and
its primary foreign regulator.
Item 4. Organization Information.
To comply with Item 4(a), the large
trader must attach an organizational
chart that depicts the organization of the
large trader. At a minimum, the chart
must include the large trader, its parent
company (if applicable), all Securities
Affiliates, and all entities identified in
Item 3(a) of the Form (if any)
(collectively, "Item 4 Affiliates").
Item 4(b) requires that a large trader
provide information about the Item 4
Affiliates. Specifically, the large trader
must input the names of Item 4
Affiliates and, for each one of them, also
input the following information:
MPID(s); a brief description of its
business, and its relationship to the
Item 4(c) requires that a large trader
identify all affiliates that file a separate
Form 13H. Those affiliates will have a
Item 4(d) permits a large trader to
assign LTID suffixes to one or more of
its Securities Affiliates. A suffix should
have no more than three characters, all
of which must be numbers; no letters or
special characters may be used. The
same suffix may not be assigned to more
than one affiliate using the same LTID.
Item 5. Governance of the Large
Item 5 captures basic information
about the large trader organization. All
terms have the meanings generally
ascribed to them in the United States. If
a foreign organization type has no
comparable corporate form, check
"Other" and input the organization
type. A large trader who is a natural
person must check "Individual."
Item 6. List of Broker-Dealers at
Which the Large Trader or Its Securities
Affiliates Has an Account.
Item 6 requires that a large trader
identify each broker-dealer at which the
large trader and any Securities Affiliate
has an account. Additionally, for each
such broker-dealer, the large trader must
indicate the type(s) of services provided.
The large trader must check as many of
the following that apply: Prime Broker;
Executing Broker; Clearing Broker.
Paperwork Reduction Act
Disclosures. This collection of
information has been reviewed by OMB
in accordance with the clearance
requirements of 44 U.S.C. 3507. An
agency may not conduct or sponsor, and
a person is not required to respond to,
a collection of information unless it
displays a currently valid control
Responses to this collection are
mandatory, pursuant to Section 13(h) of
the Exchange Act and Rule 13h-1
thereunder. The Commission will treat
as confidential the information collected
pursuant to this Form in a manner
consistent with Section 13(h)(7) of the
Exchange Act, which sets forth a few
The Commission will use the
information collected pursuant to this
Form 13H to identify significant market
participants, i.e., large traders. Form
13H will allow the Commission to
collect background information about
large traders, which will contribute to
the agency's ability to conduct
investigations and enforcement matters.
The Commission estimates that the
average burden to respond to the Form
13H will be 18 hours. Any member of
the public may direct to the
Commission any comments concerning
the accuracy of this burden estimate and
any suggestions for reducing this
By the Commission.
Dated: July 27, 2011.
Elizabeth M. Murphy,
[FR Doc. 2011-19419 Filed 8-2-11; 8:45 am]
BILLING CODE 8011-01-P
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United States. Office of the Federal Register. Federal Register, Volume 76, Number 149, August 3, 2011, Pages 46595-47054, periodical, August 3, 2011; Washington D.C.. (digital.library.unt.edu/ark:/67531/metadc52326/m1/419/: accessed June 21, 2018), University of North Texas Libraries, Digital Library, digital.library.unt.edu; crediting UNT Libraries Government Documents Department.