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Large Trader Identification

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 trans actions equaling or exceeding:

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

Use this page to:

• Add one or more SEC Large Trader ID Numbers to your account .
• Add a Large Trader ID "Suffix" to a Large Trader ID Number (usually us ed to distinguish separate entities in a corporate structure).
• Deactivate, reactivate or terminate an existing Large Trader ID Number.

For security purposes , you cannot change a Large Trader ID Number or Suffix online once you have provided it to us. If a Large Trader ID Number or Suffix listed above for your account is incorrect contact Customer Service.

Who can access the Large Trader Identification page?

You can access this page if you are a(n):

• Individual, Joint, Trust or IRA Account User
• Small Business Account User
• Friends and Family Group Master or Client
• Advisor Master User
• Proprietary Trading Group Master User (STL accounts)
• Broker Master User (Fully Disclosed and Non-Disclosed)
• Broker Fully Disclosed Client
• Investment Manager Master User (Multiple Fund Account)

To add a Large Trader ID Number to your account

1. Click Settings > Account Settings > Configuration > Large Trader ID.

If you have not yet added a Large Trader ID to your account, a page with general information about Large Trader IDs appears.

If you have already added Large Trader ID's to your account, a page appears with all of your Large Trader IDs displayed.

2. Click the Add Large Trader ID button.
3. In the Add Large Trader ID dialog, enter the Large Trader ID that you received from the SEC.

4. Optionally, add a suffix to your Large Trader ID Number. For example, you might want to add suffixes to Large Trader ID's to distinguish separate entities in a corporate structure.
5. Click OK. The newly-added Large Trader ID (and optional suffix) is added to the list of IDs on the main page.

To add a suffix to Large Trader ID Number

You can add suffixes to Large Trader IDs only if you have not already done so.

1. Click Settings > Account Settings > Account Information > Large Trader ID.
2. Click the blue pen icon next to the ID you want to add a suffix to.
3. In the Edit Large Trader ID dialog, type the suffix then click Save.

The suffix is added to the Large Trader ID and appears on the main page.

To deactivate, reactivate or terminate a Large Trader ID Number

1. Click Settings > Account Information > Large Trader ID.
2. Click the blue pen icon next to the Large Trader ID that you want to deactivate or reactivate.
3. Click the appropriate toggle button, then click Save.
4. Click the "x" icon next to the Large Trader ID that you want to deactivate, then click Yes in the dialog to confirm.

Active IDs give you the choice of Deactivate or Terminate. Inactive IDs give you the choice of Activate or Terminate.