The SEC’s proposed rules and amendments under the Exchange Act, Regulation SHO and the CAT NMS Plan will require certain broker-dealers and institutional investment managers to provide detailed information regarding short sale-related information on a monthly basis. SEC anticipates the new requirements will provide greater visibility into market activity and identify potential issues related to market conduct. Notably, the proposals follow recent news reports that the Department of Justice is conducting investigations into short sellers, and, in particular, trading practices known as “spoofing” and “scalping.”
Short Sales: SEC proposed disclosures
Proposed rules to provide greater transparency of short sale-related data to investors and the public
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Short Sales: SEC proposed disclosures
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