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SEC 13h-1 rule
John Greenan / http://www.alignment-systems.com
24 Aug 2011 9:34AM ET Hi All,
Does anyone have any views on the implementation of SEC rule 13h-1 (the larger trader rule) within FIX? Specifically how will the LTID be transmitted from buy-side to sell side - tag 1, tag 58, custom tag or out-of-band?
http://www.sec.gov/rules/final/2011/34-64976.pdf
I have raised this today with a number of large US brokers and I'd like to see if there is an industry wide consensus rather than trying to reinvent the wheel.
Since this is about regulation I am aware that some folks are not able to post publicly in discussion forums and suchlike. Please feel free to contact me offline and I will happily anonymise and repost here.
Thanks.
SEC 13h-1 rule
John Greenan / http://www.alignment-systems.com 24 Aug 2011 9:34AM ET
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