Short Sale Rule

"It should not take two years to complete a narrow revision of the Rules’ economic analyses .... However, rather than following the Court’s narrow directive, ...

Securities lending and short sale rulemakings to be reviewed in wake of court of appeals decision

"I have directed Commission staff to evaluate the rules in light of the opinion and make recommendations for appropriate Commission action, including potential changes to ...

After discovering the violation, the adviser promptly conducted a review of its trading history and updated its trading practices and compliance P&Ps to prevent future ...

Granting of exemption delays the needed Form SHO reporting for 12 months

Form SHO reports for the January 2026 reporting period would be required to be filed within 14 calendar days after the end of January 2026

The new rule and related form are designed to provide greater transparency through the publication of short sale-related data to investors and other market participants. ...

The five business day restricted period under Rule 105 began on August 30, 2023. Because Gates Capital, on behalf of its fund clients, sold short ...

The PPM for the fund described a short position investment strategy but omitted that the strategy involved working with activist short publishers and trading in ...

Traders and a portfolio manager recognized the squeeze they found themselves in and they discussed a possible solution but didn't take it