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Spotlight On:
Short Sales
Fails-to-Deliver Data
- Press Release: SEC Seeks Comment on Alternative Uptick Rule (Press Release No. 2009-185, August 17, 2009)
- Proposed Rule: Amendments to Regulation SHO (Release No. 34-60509, August 17, 2009)
- Press Release: SEC Takes Steps to Curtail Abusive Short Sales and Increase Market Transparency (Press Release No. 2009-172, July 27, 2009)
- Final Rule: Amendments to Regulation SHO (Release No. 34-60388, July 27, 2009)
- Roundtable to Examine Short Sale Price Test and Circuit Breaker Restrictions (May 5, 2009)
- Memorandum from the Office of Economic Analysis regarding Impact of Recent SHO Rule Changes on Fails to Deliver (April 16, 2009)
- Proposed Rule: Amendments to Regulation SHO (Release No. 34-59748, April 10, 2009)
- Memorandum from the Office of Economic Analysis regarding Impact of Recent SHO Rule Changes on Fails to Deliver (March 20, 2009)
- Memorandum from the Office of Economic Analysis regarding Analysis of the July Emergency Order Requiring a Pre-Borrow on Short Sales (January 14, 2009)
- Memorandum from the Office of Economic Analysis regarding Impact of Recent SHO Rule Changes on Fails to Deliver (November 26, 2008)
- Amendments to Regulation SHO (Release No. 34-58775; October 14, 2008)
- "Naked" Short Selling Antifraud Rule (Release No. 34-58774; October 14, 2008)
- Amendments to Regulation SHO (Interim final temporary rule) (Release No. 34-58773; October 14, 2008)
Comments received are available.
Submit comments on S7-30-08
- Guidance Regarding Sale of Loaned But Recalled Securities (September 28, 2008)
- Guidance Regarding the Commission's Emergency Order Concerning Disclosure of Short Selling (September 24, 2008)
Comments received are available.
Submit comments on S7-24-08
- Guidance Regarding Temporary Rule 204T (September 23, 2008)
- Regulators Provide "Tips" for Broker-Dealers on Avoiding Failures to Deliver Securities (September 18, 2008)
- Guidance Regarding the Commission's Emergency Order Concerning Short Selling (July 18, 2008)
Comments received are available.
Submit comments on S7-20-08
- 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)
- SEC Enhances Investor Protections Against Naked Short Selling (Press Release No. 2008-143, July 15, 2008)
- 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)
- Impact of Recent SHO Amendment on Fails to Deliver (Memo from Office of Economic Analysis, June 9, 2008)
- Amendments to Exchange Act Rule 10a-1 and Rules 201 and 200(g) of Regulation SHO — Small Business Compliance Guide
- Amendments to Exchange Act Rules 203(b)(3) and 200(e) of Regulation SHO — Small Business Compliance Guide
- Fails to Deliver Statistics in Threshold Securities (Memo from Office of Economic Analysis, March 3, 2008)
- Proposed Rule 10b-21: "Naked" Short Selling Anti-Fraud Rule (Release No. 34-57511, March 17, 2008)
- Proposed Rule: Amendments to Regulation SHO (Release No. 34-56213, August 7, 2007)
- Final Rule: Amendments to Regulation SHO (Release No. 34-56212, August 7, 2007)
- Final Rule: Amendments to Regulation SHO and Rule 10a-1 (Release No. 34-55970; June 28, 2007)
- 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)
- Transcript of the SEC Roundtable on the Regulation SHO Pilot (September 15, 2006)
- Draft Economic Analysis of the Short Sale Price Restrictions Under the Regulation SHO Pilot (September 14, 2006)
- Fails to Deliver Pre- and Post-Regulation SHO (August 21, 2006)
- Agenda for the SEC Roundtable on the Regulation SHO Pilot
- Proposed Rule: Amendments to Regulation SHO (July 14, 2006)
- Order Extending Term of Short Sale Pilot (April 20, 2006)
- No-action Letters
- Regulation SHO Pilot Program (March 4, 2005) UPDATED 04/19/05; 04/29/05
- Key Points About Regulation SHO (April 11, 2005)
- Division of Market Regulation: Responses to Frequently Asked Questions Concerning Regulation SHO (FAQ; December 17, 2004) UPDATED 7/6/2007
- 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)
- Final Rule: Short Sales (Release No. 34-50103; July 28, 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)
- Proposed Rule: Short Sales (Release No. 34-48709; October 28, 2003)
- Comments on Proposed Rule: Short Sales, File No. S7-23-03
http://www.sec.gov/spotlight/shortsales.htm
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