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Archived Information: Short Selling
SEC Open Meetings and Roundtables on Short Selling
- Securities Lending and Short Sale Roundtable
- Roundtable to Examine Short Sale Price Test and Circuit Breaker Restrictions (May 5, 2009)
- Roundtable on the Regulation SHO Pilot (September 15, 2006)
SEC Interim Final Rules and Emergency Orders
- Disclosure of Short Sales and Short Positions by Institutional Investment Managers (Release No. 34-58785, October 15, 2008); see also Comments
- Amendments to Regulation SHO (Interim final temporary rule) (Release No. 34-58773; October 14, 2008); see also Comments
- Amendment to Order and Order Extending Emergency Order Pursuant to Section 12(k)(2) of the Securities Exchange Act of 1934 Taking Temporary Action to Respond to Market Developments (Release No. 34-58724, October 2, 2008); see also Comments
- Order Extending Emergency Order Pursuant to Section 12(k)(2) of the Securities Exchange Act of 1934 Taking Temporary Action to Respond to Market Developments (Release No. 34-58723, October 2, 2008); see also Comments
- Order Extending Emergency Order Pursuant to Section 12(k)(2) of the Securities Exchange Act of 1934 Taking Temporary Action to Respond to Market Developments (Release No. 34-58711, October 1, 2008); see also Comments
- Amendment to Emergency Order Pursuant to Section 12(k)(2) of the Securities Exchange Act of 1934 Taking Temporary Action to Respond to Market Developments (Release No. 34-58611, September 21, 2008); see also Comments
- Emergency Order Pursuant to Section 12(k)(2) of the Securities Exchange Act of 1934 Taking Temporary Action to Respond to Market Developments (Release No. 34-58592, September 18, 2008); see also Comments
- Amendment to Emergency Order Pursuant to Section 12(k)(2) of the Securities Exchange Act of 1934 Taking Temporary Action to Respond to Market Developments (Release No. 34-58591a, September 21, 2008); see also Comments
- Emergency Order Pursuant to Section 12(k)(2) of the Securities Exchange Act of 1934 Taking Temporary Action to Respond to Market Developments (Release No. 34-58591, September 18, 2008); see also Comments
- Emergency Order Pursuant to Section 12(k)(2) of the Securities Exchange Act of 1934 Taking Temporary Action to Respond to Market Developments (Release No. 34-58572, September 17, 2008); see also Comments
- Order Extending Emergency Order Pursuant To Section 12(k)(2) of the Securities Exchange Act of 1934 Taking Temporary Action to Respond to Market Developments (Release No. 34-58248, July 29, 2008);
- Amendment to Emergency Order Pursuant to Section 12(K)(2) of the Securities Exchange Act of 1934 Taking Temporary Action to Respond to Market Developments (Release No. 34-58190, July 18, 2008); see also Comments
- Emergency Order Pursuant to Section 12(k)(2) of the Securities Exchange Act of 1934 Taking Temporary Action to Respond to Market Developments (Release No. 34-58166, July 15, 2008)
SEC Proposed Rulemakings
- Amendments to Regulation SHO (Release No. 34-60509, August 17, 2009); see also Comments
- Amendments to Regulation SHO (Release No. 34-59748, April 10, 2009); see also Comments
- Amendment to Regulation SHO (Release No. 34-58107, July 7, 2008); see also Comments
- “Naked” Short Selling Anti-Fraud Rule (Release No. 34-57511, March 17, 2008); see also Comments
- Amendments to Regulation SHO (Release No. 34-56213, August 7, 2007); see also Comments
- Amendments to Regulation SHO (Release No. 34-55520, March 26, 2007); see also Comments
- Short Selling in Connection with a Public Offering (Release No. 34-54888, December 6, 2006); see also Comments
- Amendments to Regulation SHO (Release No. 34-54154, July 14, 2006); see also Comments
- Short Sales (Release No. 34-48709, October 28, 2003); see also Comments
Press Releases
- SEC Announces Panelists for Securities Lending and Short Sale Roundtable (Press Release No. 2009-207, September 25, 2009)
- SEC to Hold Securities Lending and Short Sale Roundtable (Press Release No. 2009-196, September 11, 2009)
- SEC Announces Agenda and Panelists For Roundtable on Short Selling (Press Release No. 2009-101, May 1, 2009)
- SEC to Hold Roundtable on May 5 to Examine Short Sale Price Test and Circuit Breaker Restrictions (Press Release No. 2009-88, April 24, 2009)
- SEC Seeks Comments on Short Sale Price Test and Circuit Breaker Restrictions (Press Release No. 2009-76, April 8, 2009)
- Statement of Securities and Exchange Commission Concerning Short Selling and Issuer Stock Repurchases (Press Release No. 2008-235, October 1, 2008)
- Statement of SEC Division of Trading and Markets Regarding Technical Amendments to Short Sale Order (Press Release No. 2008-218, September 21, 2008)
- SEC Approves Amended Order Requiring Reporting of Short Positions by Certain Investment Managers (Press Release No. 2008-217, September 21, 2008)
- SEC Halts Short Selling of Financial Stocks to Protect Investors and Markets (Press Release No. 2008-211, September 19, 2008)
- SEC Issues New Rules to Protect Investors Against Naked Short Selling Abuses (Press Release No. 2008-204, September 17, 2008)
- SEC Extends Order Limiting Naked Short Selling Through August 12 (Press Release No. 2008-155, July 29, 2008)
- SEC Enhances Investor Protections Against Naked Short Selling (Press Release No. 2008-143, July 15, 2008)
- SEC Proposes Naked Short Selling Anti-Fraud Rule (Press Release No. 2008-38, March 7, 2008)
- SEC Votes to Adopt Final Amendments to Rule 105 of Regulation M, Short Selling in Connection with a Public Offering (Press Release No. 2007-120, June 21, 2007)
- Approval of Order to Extend the Termination Date of the Short Sale Pilot Order (Press Release No. 2006-60, April 21, 2006)
- SEC Issues Order Delaying Pilot Period for Suspension of the Operation of Short Sale Price Provisions Pursuant to Regulation SHO (Press Release No. 2004-164, November 30, 2004)
- SEC Adopts Changes to Short Sale Rules, Disclosures Regarding Advisory Contract Approval and Investment Company Governance Provisions (Press Release No. 2004-87, June 23, 2004)
SEC Guidance (including FAQs and Tips)
Short Sale Price Test
- Final Rule: Amendments to Regulation SHO (February 26, 2010); see also Comments
- Amendments to Regulation SHO (Release No. 34-60509, August 17, 2009); see also Comments
- Amendments to Regulation SHO (Release No. 34-59748, April 10, 2009); see also Comments
- Office of Economic Analysis: Economic Analysis of the Short Sale Price Restrictions Under the Regulation SHO Pilot (February 6, 2007)
- Proposed Rule: Amendments to Regulation SHO and Rule 10a-1 (Release No. 34-54891; December 7, 2006); see also Comments
- Draft Economic Analysis of the Short Sale Price Restrictions Under the Regulation SHO Pilot (September 14, 2006)
- Order Extending Term of Short Sale Pilot (April 20, 2006)
- Order Delaying Pilot Period for Suspension of the Operation of Short Sale Price Provisions (Release No. 34-50747; November 29, 2004)
- Order Suspending the Operation of Short Sale Price Provisions for Designated Securities and Time Periods (Release No. 34-50104; July 28, 2004)
Fails to Deliver Analyses
http://www.sec.gov/spotlight/shortsales/shortsales_archive.shtml
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