Rule 13h-1 - Large Traders Initial Filing

Rule 13h-1 Large Trader Reporting System

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3235-0682 can be found here:

Documents and Forms

Document Name Document Type
Form SEC 13H Rule 13h-1 - Large Traders Initial Filing Form and Instruction
SEC 13H Form 13H form13h.pdf www.sec.gov/files/form13h.pdf Form and Instruction
SEC 13H Form 13H form13h.pdf www.sec.gov/files/form13h.pdf Form and Instruction
secsorn1.pdf SORN IC Document
secsorn1.pdf SORN IC Document
EDGAR PIA 2016.pdf EDGAR PIA IC Document
EDGAR PIA 2016.pdf EDGAR PIA IC Document

Information Collection (IC) Details

IC Title:	Rule 13h-1 - Large Traders Initial Filing	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: Modified

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 240.13h-1

Information Collection Instruments:

Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability
Form and Instruction	SEC 13H	Form 13H	form13h.pdf	https://www.sec.gov/files/form13h.pdf	Yes	Yes	Fillable Fileable Signable

Line of Business: Economic Development

Subfunction: Financial Sector Oversight

Privacy Act System of Records
Title: SEC-1 Registration Statements Filed Pursuant to Provisions of the Securities Act of 1933, Securities Exchange Act of 1934, Public Utility Holding Company Act of 1935, and Investment Company Act of 194	FR Citation: 40 FR 39255

Number of Respondents: 1,175	Number of Respondents for Small Entity: 0

Affected Public: Private Sector	Private Sector: Businesses or other for-profits, Not-for-profit institutions

Percentage of Respondents Reporting Electronically: 100 %

	Approved	Change Due to Adjustment in Agency Estimate	Previously Approved
Annual Number of Responses for this IC	1,175	575	600
Annual IC Time Burden (Hours)	23,500	11,500	12,000
Annual IC Cost Burden (Dollars)	0	0	0

Documents for IC

Title	Document	Date Uploaded
SORN	secsorn1.pdf	11/18/2014
EDGAR PIA	EDGAR PIA 2016.pdf	03/14/2018

Blank fields in records indicate information that was not collected or not collected electronically prior to July 2006.