On 11 November 2021, AST ASIC released a report highlighting the key issues that arose out of the submissions received on consultation paper 319 securities lending by agents and substantial shareholding disclosure (CP 319) and details ASIC's responses. It also covers the targeted consultation on the remake of class order [CO 11/272] substantial shareholding disclosure:…
Read more
Rulefinder Alerts to Temporary Short Selling Ban
On 12 November 2021, Rulefinder provided warning to an upcoming short selling ban affecting two issuers in S Korea effective on 15 November.
Read more
U.S. – FINRA Posts 2022 Short Interest Reporting Dates
On 10 November 2021, FINRA published short selling reporting dates for 2022.
Read more
U.S. – CFTC Fine CPO Disclosure Violations
On 8 November 2021, CFTC, fined CPO for failure to disclose trade position limits. CFTC announced charges against United States Commodity Funds LLC for failing to fully disclose information relating to trading limitations to commodity pool participants. SEC settled a parallel action on US Commodity Funds, and US Oil Fund. US Commodity Funds, USO agreed…
Read more
Italy – GVT Public Shareholdings Census
On 4 November 2021, ITA GVT issued online forms for data collection for review. Public shareholdings online forms for data collection for periodic review and census. Follows ITA GVT May 2021 launched the annual survey of public holdings. Overview By 31 December 2021, public administrations in art 2, para 1 a) LD 175/2016 Consolidated Law…
Read more
U.S. – MIAX Pearl Timestamp Short Selling
On 2 November 2021, the SEC issued amendment no. 1, granting accelerated approval. Amendment Order also would receive new timestamp when position changed via cancel/replace message during short selling period from sell to sell short; sell to sell short exempt. Also sell short to sell; sell short to sell short exempt; sell short exempt to…
Read more