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U.S. Securities and Exchange Commission

SEC Seeking Public Comments On:

Registration of Swap Dealers and Swap Participants

Prohibitions and Restrictions on Proprietary Trading

Conflicts of Interest in ABS Transactions

Review of Existing Regulations

Use of Derivatives by Mutual Funds

Asset-Backed Issuers and Mortgage-Related Pools Under '40 Act

Spotlight on Current SEC Topics

SEC Enforcement Actions Related to the Financial Crisis

Seeking Small Business Input

The State of the Municipal Securities Markets

Post-Madoff Reforms

Insider Trading


















Enforcement tips - how to send tips to the SEC's Division of Enforcement

Spotlight on Short Sales

Short selling is generally defined as the sale of securities that an investor does not own or has borrowed. The SEC has approved a number of rules and taken other actions pertaining to short selling to promote market stability, preserve investor confidence, and increase short sale transparency.

Play video of SEC Chairman Schapiro discussing short selling
Chairman Schapiro discusses new short selling protections for investors.


SEC Approves Short Selling Restrictions
The SEC recently adopted an alternative uptick rule that places certain restrictions on short selling when a stock is experiencing significant downward pressure. More

Reports, Studies
and Data


SEC Final Rulemakings

SEC Proposed Rulemakings


Other Information

Modified: 08/09/2011