Regulation SHO

In this final rule, the SEC extended the compliance deadline from Nov. 10, 2010 until Feb. 28, 2011.

This is an SEC final rule, released in March 2010, that imposes a short-sale circuit breaker mechanism designed to curtail the problem of abusive short ...

Last week the SEC cited a broker-dealer subsidiary of Goldman Sachs for violating Rule 204T of Reg SHO, which sets deadlines for closing out fails-to-deliver ...

The SEC has placed on its Web site a compliance guide to its new short sale price test under Reg SHO. It provides a clearer ...

Among the hot topics FINRA will be scrutinizing this year during exams of firms include short sales and Reg SHO compliance, the supervision of branch ...

The SEC has now made permanent - with a few tweaks - some of the temporary steps it took last year to quell naked shorting ...

This is a July 2009 final rule from the SEC making permanent the so-called temporary rule 204T adopted in the fall of 2008 as an ...

A new report from the Government Accountability Office finds the SEC's Reg SHO had at least a temporary effect to reduce the number of securities ...

You'll find scores of questions the SEC has for the industry in its proposed short selling rule. The questions show the agency wishes to be ...