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Regulation SHO

Regulation SHO was adopted to update short sale regulation in light of numerous market developments since short sale regulation was first adopted in 1938. Compliance with Regulation SHO began on January 3, 2005.

For more information on Regulation SHO, please visit the SEC’s Spotlight on Short Sales and the Division of Trading And Markets FAQ’s.

We have provided this information as a service to investors.  It is neither a legal interpretation nor a statement of SEC policy.  If you have questions concerning the meaning or application of a particular law or rule, please consult with an attorney who specializes in securities law.

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Modified: April 18, 2005