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Legal Update

US Securities and Exchange Commission Adopts Large-Trader Reporting System

9 August 2011
Mayer Brown Legal Update
On July 26, 2011, the US Securities and Exchange Commission (SEC) voted unanimously to adopt Form 13H and Rule 13h-1 under the Securities Exchange Act of 1934 (Exchange Act). The formal adopting release was issued on July 27.1 Although Rule 13h-1 is technically effective on October 3, 2011, the Adopting Release provides two staggered compliance dates for the rule’s key provisions.


  • Marc R. Cohen
    T +1 202 263 3206
  • Adam D. Kanter
    T +1 202 263 3164
  • David R. Sahr
    T +1 202 263 3332
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