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Regulatory Information
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2010-09-22
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Amendments to Regulation SHO
Proposed Rules
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D09002ee1bdda3ad6
United States
Securities and Exchange Commission
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United States Government Agency or Subagency
The Securities and Exchange Commission (``Commission'') is re- proposing amendments to Regulation SHO under the Securities Exchange Act of 1934 (``Exchange Act''). The proposed amendments are intended to further reduce the number of persistent fails to deliver in certain equity securities by eliminating the options market maker exception. In addition, we are requesting comment regarding specific alternatives to our proposal to eliminate the options market maker exception. We are also proposing an amendment to the long sale marking provisions of Regulation SHO that would require that brokers and dealers marking a sale as ``long'' document the present location of the securities being sold.
72 FR 45558
https://www.govinfo.gov/app/details/FR-2007-08-14/E7-15709
E7-15709
fr14au07-30
RIN 3235-AJ57
8010-01-P
Release No. 34-56213
File No. S7-19-07
https://www.govinfo.gov/app/details/FR-2007-08-14/E7-15709
https://www.govinfo.gov/content/pkg/FR-2007-08-14/html/E7-15709.htm
https://www.govinfo.gov/content/pkg/FR-2007-08-14/pdf/E7-15709.pdf
33 p.
45558
45590
72 FR 45558
Code of Federal Regulations
Title 17 Part 242
17 CFR Part 242
Regulation Identification Number 3235-AJ57
RIN 3235-AJ57
Amendments to Regulation SHO; Federal Register Vol. 72, Issue
PRORULE
E7-15709
SECURITIES AND EXCHANGE COMMISSION
2007-09-13
Release No. 34-56213
File No. S7-19-07
8010-01-P
E7-15709
Proposed rule.
The Securities and Exchange Commission (``Commission'') is re- proposing amendments to Regulation SHO under the Securities Exchange Act of 1934 (``Exchange Act''). The proposed amendments are intended to further reduce the number of persistent fails to deliver in certain equity securities by eliminating the options market maker exception. In addition, we are requesting comment regarding specific alternatives to our proposal to eliminate the options market maker exception. We are also proposing an amendment to the long sale marking provisions of Regulation SHO that would require that brokers and dealers marking a sale as ``long'' document the present location of the securities being sold.
Comments should be received on or before September 13, 2007.
James A. Brigagliano, Associate Director, Josephine J. Tao, Assistant Director, Victoria L. Crane, Branch Chief, Elizabeth A. Sandoe, Branch Chief, Joan M. Collopy, Special Counsel, and Lillian S. Hagen, Special Counsel, Office of Trading Practices and Processing, Division of Market Regulation, at (202) 551-5720, at the Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-6628.
Securities:
Persistent fails to deliver in certain equity securities; reduction; amendments (Regulation SHO),
rule-comments@sec.gov
http://finance.wharton.upenn.edu/˜musto/papers/egmr.pdf
http://www.regulations.gov
http://www.sec.gov/about/economic/shopilot091506/draft_reg_sho_pilot_report.pdf
http://www.sec.gov/rules/final/34-50103.htm
http://www.sec.gov/rules/proposed.shtml
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Federal Register
Vol. 72, no. 156
Office of the Federal Register, National Archives and Records Administration
2007-08-14
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316 p.
Table of Contents:
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https://www.govinfo.gov/app/details/FR-2007-08-14
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https://www.govinfo.gov/app/details/FR-2007-08-14
https://www.govinfo.gov/content/pkg/FR-2007-08-14/pdf/FR-2007-08-14.pdf
https://www.govinfo.gov/content/pkg/FR-2007-08-14/xml/FR-2007-08-14.xml
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2010-09-22
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