On 29 July 2021, FINRA published short interest reporting dates for 2021. FINRA published a schedule containing firm short interest reporting dates for 2021. Short Interest Reporting Firms required to report short interest positions in all customer, proprietary accounts. Short interest positions required to be reported for all equity securities twice a month. Must be…
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E.U. – ESMA MiFID RTS2 Annual Review
On 28 July 2021, ESMA issued MiFID/MiFIR annual review report on RTS 2. ESMA published MiFID II/MiFIR Annual review report under EC reg 2017/583 (RTS 2). Follows ESMA May 2021 sought input on RTS 2 annual review report. Recommendations ESMA suggests to the European Commission to move to stage 3 for the average daily number…
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Rulefinder Reports Temporary Short Selling Ban
On 29 July 2021, Rulefinder reported a temporary short selling ban effective on 30 July 2021.
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Australia – GVT Foreign Investment Reforms
On 27 July 2021, AST GVT consulted on foreign investment reforms review. AST GVT issued consultation on its evaluation of the 2021 foreign investment reforms. Follows AST FIRB February 2021 started evaluation of investment reforms. Foreign Investment Reforms Reforms updated the framework in 3 broad ways: addressed national security risks; strengthened existing system; streamlined investment…
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Germany – BaFin Manager Notification Forms
On 21 July 20 21, GE BaFin issued FAQ on WpIG manager notification forms. GE BaFin FAQ on forms for notifications under WpIG; and appointment of managers. Follows GE BaFin May 2021 FAQs on the IFD/IFR prudential regime. Answer Numerous reporting obligations that were previously regulated for securities institutions in the Banking Act have been…
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Australia – FIRB Guidance Notes Update
On 19 July 2021, AST FIRB published updated guidance notes for investors. AST FIRB updated guidance notes on its website following reforms to framework. Follows AST GVT December 2020 foreign investment framework reform. Overview To provide greater clarity on investors' obligations under foreign investment framework by addressing a number of issues identified since major reforms…
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