On 1 November 2023, Short Selling Rule 13f-2, Form SHO, and the amendments to the CAT NMS Plan adopted by the SEC were published in the Federal Register. Effective Date: 2 January 2024. Compliance Date: Rule 13f-2 and Form SHO which will be 2 January 2025 and amendment to the CAT NMS Plan will be […]
On 21 September 2023, ESMA issued FAQ on notifications of short selling. Document dated 21 September 2023, was received on 26 October 2023 due to a new feed. ESMA issued answer on transparency of net short positions under the Short selling regulation (SSR Reg 236/2012), about positions existing before application of the SSR. The question […]
On 25 October 2023, MEX GVT updated its resource page on foreign direct investment. It is not evident the exact content that was updated as of 25 October 2023.
On 19 October 2023, the PSE has announced it was extending the planned launch and implementation of the PSE Short Selling Program. New date for Launch will be 6 November 2023 Allows market participants more time to prepare for and comply with the various requirements needed to perform securities borrowing and lending activities as well […]
On 22 October 2023, KUW CMA amended capital market executive bylaws. KUW CMA issued Res 144 of 2023 amending executive bylaws of capital markets law. Highlights of Amendments Amended module 2 regarding schedule of the KUW CMA services fees as per annex 1. Module 11 re dealing with securities was also amended as per annex […]
On 19 October 2023, SEC settled short selling charges against Anson Advisors. SEC settled charges against Canadian Anson Advisors for violations of the SEC’s short selling rule, Rule 105 of Regulation M (17 CFR 242.105) under the Exchange Act. Allegations Anson purchased stock in three public offerings for private fund clients after selling short the […]