请教大家美股大型交易者的问题

昨晚美股波动大,我多操作了几次(T+0),交易量可能较大,结果收到了券商的以下通知,让我需要填写SEC表格13H以获取大型交易者识别号码(“ID”)。请问这个会有问题吗?如果这样受到监管的话,以后都不敢多交易了。
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尊敬的客户,

美国证券交易委员会(SEC)要求包括Interactive Brokers在内的经纪商监控其客户的交易活动并识别潜在的大型交易者。大型交易者包括任何对一个或多个账户投资有决策权(控制交易)并交易美国交易所挂牌股票和期权的美国或非美国个人或实体,其交易量等于或超过以下标准:

• 在任一日历日交易两百万股或两千万美元;或
• 两千万股或两亿美元(任一日历月)。

请注意,为确定所交易股票的价值,假定每份期权合约等于100股底层证券(如经美国货币监理署调整,则可能为其它股数)。

根据此规则我司确定,您在04-JAN-2021期间通过账户U*********及其它您控制的相关账户的合计交易将使您成为“大型交易者”。相应地,您需要填写SEC表格13H以获取大型交易者识别号码(“ID”)。

请注意,一旦填写此表格并获取ID,您需要向Interactive Brokers报告此信息。您可以以电子形式提交您的ID,方法是从IBKR网站登录账户管理并依次选择设置> 账户设置及大型交易者ID菜单选项。您可以在大型交易者页面选择“添加大型交易者ID”按钮来输入ID。

有关该SEC规则的其它信息,请参考知识库文章KB1842

Dear Client,

The SEC requires brokerage firms, including Interactive Brokers, to monitor client trading activities and identify potential Large Traders. A Large Trader is any U.S. or non-U.S. person or entity that trades or controls trading (in one or more accounts) in U.S. exchange-listed stock and option transactions equaling or exceeding:

• Two million shares or $20 million during any calendar day; or
• 20 million shares or $200 million during any calendar month.

Note that for purposes of determining the value of shares traded, each option contract is assumed to be equal to 100 shares of its underlying security (or other share equivalent if adjusted by OCC).

Based upon this requirement we have determined that the trading in account U********* for the period of 04-JAN-2021, in aggregate with that of any other related accounts under your control, may qualify you as a “Large Trader” and you may have to file a Form 13H with the SEC in order to obtain a Large Trader ID ("ID"). 

Once Form 13H is filed and an ID obtained, you are required to report the ID it to Interactive Brokers. You may submit your ID by logging in to Account Management from the IBKR website and selecting Settings> Account Settings and then Large Trader ID menu options. From there, you will be directed to the Large Trader Identification page through which you can enter your ID by selecting the "Add Large Trader ID" button located therein.

For additional information regarding this SEC Rule, please refer to Knowledge Base article KB1842
发表时间 2021-01-05 23:06

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