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- SEC Modernizes Delivery of Fund Reports, Seeks Public Feedback on Improving Fund Disclosure
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- Deutsche Bank faces another challenge with Fed stress test
- Former JPMorgan Broker Files racial discrimination suit against company
- $3.3Mn Winning Bid for Lunch with Warren Buffett
- Julie Erhardt is SEC's New Acting Chief Risk Officer
- Chyhe Becker is SEC's New Acting Chief Economist, Acting Director of Economic and Risk Analysis Division
- Getting a Handle on Virtual Currencies - FINRA
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SEC Suggests New Short Selling Disclosures
The SEC is considering which of two short selling disclosure regimes it should implement. This study is mandated by the Dodd-Frank Reform Act, and the SEC must report to Congress by 7/21/11. Public comments should be submitted within 45 days.
- A transactions reporting regime ... would add short sale-related marks to the consolidated tape in a voluntary pilot program.
- A position reporting regime ... would entail real time reporting of investors’ short positions either to the public or to regulators only.
To better inform the study, the request seeks public comment on both the existing uses of short selling in securities markets and the adequacy or inadequacy of the information regarding short sales available today. The request also seeks public comment on the likely effect of these possible future reporting regimes on the securities markets, including their feasibility, benefits, and costs. [SEC Release 11-103, 5/4/11]
For further details, go to: [SEC Release No. 34-64383, 5/3/11, "Short Sale Reporting Study .."]
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