
SEC Risk Alert Large Trader Obligations (Form 13H)
26 January 2021
On December 16, 2020 the SEC released a risk alert addressing observations from examinations for adviser’s compliance with Rule 13h-1, also known as the Large Trader Rule.. This article will cover investment advisers’ obligations under Rule 13h-1 and helpful guidance to make it easier. What is Rule 13h-1? Rule 13h-1 of the Securities and ExchangeRead More »