Regulation Sho
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Regulation SHO
Author | : Orice M. Williams |
Publsiher | : DIANE Publishing |
Total Pages | : 114 |
Release | : 2009-12 |
Genre | : Business & Economics |
ISBN | : 9781437917956 |
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The SEC adopted Regulation SHO to, among other things, curb the potential for manipulative naked short selling in equity securities. Selling a security short without borrowing the securities needed to settle the trade within the standard 3-day period, can result in failures to deliver (FTD), and can be used to manipulate (drive down) the price of a security. To further address this concern, SEC recently issued an order amending Regulation SHO. This report: (1) provides an overview of Regulation SHO and related SEC actions; (2) discusses regulators' and market participants' views on the effectiveness of the rule; and (3) analyzes regulators' efforts to enforce the rule. Includes recommendations. Charts and tables.
U S Regulation of Hedge Funds
Author | : Douglas L. Hammer |
Publsiher | : American Bar Association |
Total Pages | : 398 |
Release | : 2005 |
Genre | : Business & Economics |
ISBN | : 159031297X |
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This authoritative resource surveys federal securities laws and rules applicable to the organization, capitalization and operations of private U.S. domestic investment partnerships that invest and trade mainly in the public securities markets. Includes a detailed index.
Regulation Sho
Author | : United States Government Accountability Office |
Publsiher | : Createspace Independent Publishing Platform |
Total Pages | : 114 |
Release | : 2017-09-08 |
Genre | : Electronic Book |
ISBN | : 1976187230 |
Download Regulation Sho Book in PDF, Epub and Kindle
The Securities and Exchange Commission (SEC) adopted Regulation SHO to, among other things, curb the potential for manipulative naked short selling in equity securities. Selling a security short without borrowing the securities needed to settle the trade within the standard 3-day period, can result in failures to deliver (FTD), and can be used to manipulate (drive down) the price of a security. To further address this concern, SEC recently issued an order amending Regulation SHO. This report (1) provides an overview of Regulation SHO and related SEC actions, (2) discusses regulators' and market participants' views on the effectiveness of the rule, and (3) analyzes regulators' efforts to enforce the rule. To address these objectives, GAO reviewed SEC rules and draft industry guidance, analyzed FTD data, reviewed SEC and self-regulatory organization (SRO) examinations, and interviewed SEC and SRO officials and market participants. GAO recommends that the SEC Chairman expedite the review and approval of the draft guidance and develop a process to respond to implementation issues that arise
SEC Docket
Author | : United States. Securities and Exchange Commission |
Publsiher | : Unknown |
Total Pages | : 1184 |
Release | : 2003 |
Genre | : Securities |
ISBN | : OSU:32437121814954 |
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Regulation Sho
Author | : United States Government Accountability Office |
Publsiher | : Createspace Independent Publishing Platform |
Total Pages | : 114 |
Release | : 2018-01-25 |
Genre | : Electronic Book |
ISBN | : 1984170600 |
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Regulation SHO: Recent Actions Appear to Have Initially Reduced Failures to Deliver, but More Industry Guidance Is Needed
The State of the Securities Industry
Author | : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs |
Publsiher | : Unknown |
Total Pages | : 68 |
Release | : 2006 |
Genre | : Credit bureaus |
ISBN | : PSU:000058841877 |
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Federal Register
Author | : Anonim |
Publsiher | : Unknown |
Total Pages | : 444 |
Release | : 2013-07 |
Genre | : Delegated legislation |
ISBN | : UCR:31210024751008 |
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Amendments to Regulation Sho Us Securities and Exchange Commission Regulation Sec 2018 Edition
Author | : The Law Library |
Publsiher | : Independently Published |
Total Pages | : 38 |
Release | : 2019-01-21 |
Genre | : Law |
ISBN | : 1794557466 |
Download Amendments to Regulation Sho Us Securities and Exchange Commission Regulation Sec 2018 Edition Book in PDF, Epub and Kindle
The Law Library presents the complete text of the Amendments to Regulation SHO (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition). Updated as of May 29, 2018 The Securities and Exchange Commission ("Commission") is adopting amendments to Regulation SHO under the Securities Exchange Act of 1934 ("Exchange Act"). The amendments are intended to further reduce the number of persistent fails to deliver in certain equity securities by eliminating the grandfather provision of Regulation SHO. In addition, we are amending the close-out requirement of Regulation SHO for certain securities that a seller is "deemed to own." The amendments also update the market decline limitation referenced in Regulation SHO. This ebook contains: - The complete text of the Amendments to Regulation SHO (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition) - A dynamic table of content linking to each section - A table of contents in introduction presenting a general overview of the structure