FINRA Fines for Short Selling Reporting Failure
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About: Anna Monteiro
Recent Posts by Anna Monteiro
Australia – GVT – Foreign Acquisition/Takeover
On 8 July 2023, AST GVT registered 29th compilation of the Foreign acquisitions and takeovers act 1975, showing the text of the act as amended and in force 1 July 2023. Compilation reflects consequential amendments made by Foreign investment reform (protecting Australia's national security) act 2020.
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Liechtenstein – FMA Updates Net Short Selling Regulation
On 29 June 2023, Liechtenstein FMA issued rules amending Securities Regulations. Amends the Securities Regulations 876/2007 on net short selling. Follows EFTA June 2023 confirmed EEA JC decision entered in force. Overview Change impacts Reg 876/2007 S3-9, now on Implementation of Regulation 2022/27. EEA Agreement Annex IX 29f Regulation 2022/27 (on adjustment of relevant threshold…
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Canada – CSA SEDAR+ System for Filing Substantial Shareholding Disclosures
On 29 June 2023, CSA Que with companion regulators announced SEDAR+ will go live 25 July 2023, as scheduled; SEDAR/SEDAR+ inactive on 20 July 11pm ET until go-live. Ontario commission reported SEDAR+ will be available for filing at 7:00am ET, 25 July to accept submissions of substantial shareholding disclosures as well as other filing documents.
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Stepping Closer to a SEC Decision on 13D/G
On 22 June 2023, the SEC’s Investor Advisory Committee (IAC) held a public meeting (13D/G ~3:09 mark) which included a discussion on the proposed amendments Read the full article.
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Norway – GVT Significant Net Short Selling Regulation
On 29 June 2023, NOR GVT issued rules amending Securities Regulations. NOR GVT issued Reg 1156 amending the Securities Regulations 876/2007 on net short selling. Follows EFTA June 2023 confirmed EEA JC decision entered in force. Overview Change impacts Reg 876/2007 S3-9, now on Implementation of Regulation 2022/27. EEA Agreement Annex IX 29f Regulation 2022/27…
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