SEC Passes Reg SHO Amendments
No exam priority list would be complete without a Reg. SHO reference: EXAMS said it would look at whether broker-dealers are appropriately relying on the bona fide market making exception. Risk Areas Impacting Various Market Participants The 2025 Priorities list the following additional areas as pri...
The SEC issued technical ammendments to the Emergency Short Sale order that provided listing exchanges with guidance regarding which securities are covered by the Order. NASDAQ posted a list of inculded financial firms for our market as well as a consolidated list for all exchanges. ...
According to the SEC Office of Economic Analysis (2008) Reg SHO in effect since 2005 had not reduced outstanding fails. Many stocks remained on the SEC Regulation SHO Threshold List for hundreds of trading days For years, the SEC claimed naked short selling and fails to deliver were not a p...
Reg BI and Form CRS8 The Division remains focused on Reg BI. EXAMS identified areas of particular interest as recommendations with regard to products, investment strategies, and account types disclosures made to investors regarding conflicts of interest ...
Securities and Exchange Commission (SEC) on Regulation SHO. It states that a part of the guidance requires sellers to split orders into long and short orders if their net long position covers only part of the sell order. Eric Hess, general counsel of Direct Edge, says under the SEC rule,...
Securities and Exchange Commission in 2006 proposing amendments to Exchange Act Rule 10a-1 and Regulation SHO. The proposed amendments would remove Rule 10a-1, as well as any short sale price test of any self-regulatory organization (SRO). Moreover, the proposed amendments would prohibit any ...
SEC Issues Important New Reg SHO FAQs ConcerningJanet M. Angstadt
The article focuses on a release proposing amendments to Exchange Act Rule 10a-1 and Regulation SHO issued by the U.S. Securities and Exchange Commission. The proposed amendments would remove Rule 10a-1, as well as any short sale price test of any self-regulatory organization (SRO). In ...
Securities and Exchange Commission (SEC) voted to adopt final amendments to Rules 200 and 203 of Regulation SHO to better safeguard investors and protect the integrity of the markets during short selling transactions. The amendments will further lessen fails to deliver in certain equity securities by...