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Large Trader Filing Service

SEC Form 13H Large Trader Registration,
handled for you.

If your trading volume crosses the SEC's identifying activity level, you are required to register as a Large Trader by filing Form 13H. Our compliance specialists prepare and submit your Form 13H to EDGAR — accurately and on time.

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Form 13H — Key Requirements
Daily threshold 2M shares or $20M
Monthly threshold 20M shares or $200M
Initial filing deadline Promptly (within 10 days)
Annual update deadline 45 days after year-end
Amendment trigger Material change in info
Filed via SEC EDGAR

All Form 13H information is confidential and not accessible to the general public. Upon acceptance, the SEC assigns a unique Large Trader Identification Number (LTID).

About Form 13H

What is Form 13H?

Form 13H is an SEC registration form required under Rule 13h-1 of the Exchange Act. Any person or entity that exercises investment discretion over accounts and executes transactions in NMS securities above specified volume thresholds must identify themselves to the SEC as a Large Trader.

Upon filing, the SEC issues a unique Large Trader Identification Number (LTID) that must be provided to all broker-dealers executing transactions on the filer's behalf. Those broker-dealers then use the LTID to report transaction data to the SEC via Electronic Blue Sheets when requested.

Form 13H information is kept confidential by the SEC — it is not publicly available like Form 13F. However, failure to file when required exposes traders to regulatory and enforcement risk.

"Large traders are responsible for monitoring their own activity and self-identifying to the SEC — the obligation to file falls entirely on the trader."

Identifying activity levels

You qualify as a Large Trader if you meet either threshold
Per Calendar Day
2,000,000 shares
or
$20,000,000

In aggregate NMS securities transactions across all accounts and broker-dealers during any single calendar day.

Per Calendar Month
20,000,000 shares
or
$200,000,000

In aggregate NMS securities transactions across all accounts and broker-dealers during any single calendar month.

What we handle for you

Full-service filing support
01

Initial Registration

We prepare your initial Form 13H filing — including organizational hierarchy, trading strategies, broker-dealer relationships, and execution platforms — and submit it to SEC EDGAR on your behalf within the 10-day window.

02

Annual Updates

Every calendar year, Large Traders must file an updated Form 13H within 45 days of year-end. We track your deadline, gather updated information from your firm, and complete the annual filing before it comes due.

03

Amended Filings

When material information changes — new broker-dealers, updated trading strategies, organizational changes — you must file a quarterly amendment promptly. We monitor for triggers and handle each amendment as needed.

Frequently asked questions

Who is required to file Form 13H?
Any person or entity that exercises investment discretion over one or more accounts and executes aggregate transactions in NMS securities equal to or exceeding 2 million shares or $20 million in any calendar day, or 20 million shares or $200 million in any calendar month, must file as a Large Trader.
What are NMS securities?
NMS (National Market System) securities include U.S. exchange-listed equity securities and standardized options. They do not include exchange-listed debt securities, securities futures, or shares of open-end mutual funds not reported under a transaction reporting plan.
When must the initial Form 13H be filed?
The initial filing must be made "promptly" after your transactions reach the identifying activity level. The SEC considers filing within 10 days to be prompt. Unlike some regulatory filings, the obligation to self-identify rests entirely with the trader — the SEC does not notify you.
Is Form 13H information public?
No. All information submitted on Form 13H is kept confidential by the SEC and is not accessible to the public or other market participants. This distinguishes it from Form 13F, which is publicly available on EDGAR.
What is an LTID and what do I do with it?
After your initial Form 13H is accepted, EDGAR automatically assigns you an 8-digit Large Trader Identification Number (LTID). You are then required to provide this number to all broker-dealers executing transactions on your behalf, and identify which accounts it applies to. This is an ongoing obligation.
When are amended filings required?
You must file a quarterly amendment promptly following the end of any calendar quarter in which information on your most recent Form 13H has become inaccurate. Annual filings are still required each year regardless of whether amendments were filed during that year.
Do you also assist with Form 13F?
Yes — our sister service File|13F specializes in quarterly Form 13F filings for institutional investment managers with over $100M in AUM. Many of our clients use both services. We offer each independently or as a combined compliance package.

Simple, transparent pricing

No hidden fees
$175
per filing

One flat fee covers your Form 13H filing — whether it's an initial registration, annual update, or quarterly amendment. No surprises, no retainers.

What's included
  • Full preparation of Form 13H in SEC-required format
  • Compliance review before submission
  • EDGAR submission on your behalf
  • Filing confirmation and receipt
  • Covers initial, annual, and amended filings
To get started, contact us at support@file13f.com. We will confirm your filing type, gather the necessary information, and complete your submission.
Also from our firm File|13F — Quarterly Form 13F Filing Service

Ready to file your Form 13H?

Don't wait for an SEC inquiry to discover you were required to register. Reach out today and we'll handle the filing before your deadline.

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Mandatory Disclaimer: All information provided on this site is for informational purposes only. File|13H is not a law firm and does not provide legal advice. Any error or omission concerning information provided above is at the sole responsibility of the reader to research and verify. Information on this site is not officially reviewed or approved by the Securities and Exchange Commission.