Short Sale Rule

The new rule and related form are designed to provide greater transparency through the publication of short sale-related data to investors and other market participants. ...

The five business day restricted period under Rule 105 began on August 30, 2023. Because Gates Capital, on behalf of its fund clients, sold short ...

The PPM for the fund described a short position investment strategy but omitted that the strategy involved working with activist short publishers and trading in ...

Traders and a portfolio manager recognized the squeeze they found themselves in and they discussed a possible solution but didn't take it

Twice, Contrarian purchased offering shares from an underwriter participating in a follow-on or secondary public offering of stock despite causing at least one advisory client ...

The SEC adopts new Rule 13f-2 and new Form SHO, which would require institutional investment managers that meet or exceed certain specified reporting thresholds to ...

The SEC announced Oct. 19 its third enforcement action of the year involving violations of the short selling trading rule

The Canadian-based exempt reporting adviser has since undertaken certain remedial steps, including updating and revising its Rule 105 policies and procedures to prevent future Rule ...

The mismarking violations occurred as a result of a coding error in the logic used to compute Citadel Securities’s position calculated for Regulation SHO purposes ...

A pre-clearance process involving compliance and legal whenever a PM seeks to request an allocation of an upcoming equity offering makes a lot of sense ...