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Diane Publishing Books
Regulation SHO: Recent Actions Appear to Have Initially Reduced Failures to Deliver, but More Industry Guidance Is Needed
Orice M. Williams (au)
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.
Language Imperative: How Learning Languages Can Enrich Your Life & Expand Your Mind
We the People: Voices & Images of the New Nation
Small Sects in America (rev. ed.)
Politician Goes to War: The Civil War Letters of John White Geary
Secret Agenda: One Manís Fight Against High-Tech Terrorists & Their Biological & Nuclear Weapons of Mass Destruction
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