The SEC adopted Regulation SHO to, among other thi

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Regulation SHO: Recent Actions Appear to Have Initially Reduced Failures to Deliver, but More Industry Guidance Is Needed

Our Price: $35.00

By Orice M. Williams (au)
Year: 2009
Pages: 114
Binding Paperback

Product Code: 143791795X

Description

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.

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