SEC Seeking Public Comments On:

Proposed Measures on Dark Pools

2010-2015 Draft Strategic Plan

Proposed Ban on
Flash Orders

Measures to Strengthen Oversight of Credit Rating Agencies

more...

Insider Trading

Short Sales

Post-Madoff Reforms

Investor Advisory Committee

Interactive Data (XBRL)

Information for
Reserve Primary Fund
Investors

Spotlight on Short Sales

The SEC is currently undergoing a very deliberative process to determine what is in the best interest of investors as to whether additional restrictions should be in place for the practice of short selling.

News

SEC Holds Securities Lending and Short Sale Roundtable
The SEC held a two-day roundtable to discuss securities lending and short sale issues. Webcast
Chairman Schapiro Remarks:
Day 1: Text | Video
Day 2: Text | Video

• Panelist Biographies
  


• Public Comments:
  View | Submit
  


• Transcripts:
  Day 1 | Day 2
  

Other News:

• SEC Seeks Comment on Alternative Uptick Rule
• SEC Takes Steps to Curtail Abusive Short Sales and Increase Market Transparency
• SEC Proposes Short Sale Price Test and Circuit Breaker Restrictions

SEC Rulemakings

• Proposed Rule: Amendments to Regulation SHO (Aug. 17, 2009)
• Final Rule: Amendments to Regulation SHO (July 27, 2009)
• Proposed Rule: Amendments to Regulation SHO (April 10, 2009)
• Final Rule: Amendments to Regulation SHO (Oct. 14, 2008)
• Final Rule: "Naked" Short Selling Antifraud Rule (Oct. 14, 2008)
• Final Rule: Amendments to Regulation SHO (Aug. 7, 2007)
• Final Rule: Amendments to Regulation SHO and Rule 10a-1 (June 28, 2007)
• Final Rule: Short Sales (July 28, 2004)

Reports and Studies

• Fails to Deliver Data
• Memorandum on Impact of Recent SHO Rule Changes on Fails to Deliver (November 4, 2009)
• Analysis of Short Sale Price Restrictions Under Regulation SHO Pilot Program

Other Information

• No-Action Letters
• Small Business Compliance Guides:
  • Amendments to Exchange Act Rule 10a-1 and Rules 201 and 200(g) of Regulation SHO
  • Amendments to Exchange Act Rules 203(b)(3) and 200(e) of Regulation SHO
• ARCHIVE of SEC Actions and Information on Short Selling

Modified: 11/06/2009