Americas Block Trades SEC USD

United States Block Trades on NYSE & Nasdaq

Block-trade financing and discreet execution for large lines of shares listed in the United States — for sellers and acquirers who need to move size without disturbing the order book or the price.

01 · The Market

Americas

United States equity markets.

Black Haven Investments provides liquidity around block trades in United States-listed equity: off-market or negotiated-price execution, risk taken on the line itself, and the large-holding disclosure that follows a substantial transfer managed end to end. The market is overseen by U.S. Securities and Exchange Commission (SEC).

United States block trades at a glance:

Listed venues	New York Stock Exchange (NYSE), Nasdaq Stock Market (Nasdaq)
Regulator	U.S. Securities and Exchange Commission (SEC)
Currency	USD
Principal indices	S&P 500, Dow Jones Industrial Average, NYSE Composite
Structure	Off-market or negotiated-price

Regulatory references are published for general orientation and are not legal advice.

02 · Exchanges

Two Venues

Each United States exchange, covered.

NYSE · New York

New York Stock Exchange

Auction-and-electronic hybrid market with a Designated Market Maker assigned to every listed security. The deepest pool of listed corporate equity in the world by aggregate market capitalisation.

View NYSE → Nasdaq · New York

Nasdaq Stock Market

The first fully electronic stock market, today the principal listing venue for technology, biotechnology, and growth issuers. Three tiers calibrate listing standards to issuer maturity.

View Nasdaq →

03 · FAQ

United States · Block Trades

What holders ask about United States.

01How do you execute a United States block trade?

We work the line off the order book, off-market or at a negotiated price, and the block is then printed to New York Stock Exchange (NYSE) and Nasdaq Stock Market (Nasdaq) under its block-trade rules. Black Haven Investments can take all or part of the risk on the line, so the seller achieves a clean exit at an agreed price.

02How large a block can you handle in United States?

It depends on the stock’s free float, daily traded volume and volatility. We assess each line on its merits and indicate a workable size and price range after reviewing the position.

03Does the block trade have to be disclosed?

Often, yes. A substantial transfer by a significant shareholder is generally disclosable under the relevant regime overseen by SEC. We manage the sequencing and wording of any required notification around the trade.

04Can you finance the buyer of the block?

Yes. A block can be paired with a stock loan to the acquirer, so the newly acquired United States-listed line serves immediately as collateral for the financing that funds it.

04 · Adjacent Markets

Americas

Countries adjacent to United States.

Canada · Brazil · Mexico · Chile

All countries →

A particular United States holding to talk through?

Send a confidential enquiry, and a senior principal will reply within one business day.

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