On 25 February 2022, SEC proposed to enhance short selling disclosure reporting. SEC proposed new SRT Rule 13f-2, and corresponding Form SHO, require institutional investment managers to report short sale and related information on a monthly basis. SEC would then make aggregate data about large short positions, including daily short sale activity data, available to…
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FINRA – Extends Short Sale Reporting Comment Period
On 4 August 2021, FINRA requested extended comment period on short sale reporting changes. FINRA issued Regulatory Notice 21-19: FINRA requests comment on short interest position reporting enhancements and other changes related to short sale reporting. Short Sale Reporting Proposal Modifications proposed to FINRA short interest reporting requirements, to consolidate publication of short interest data…
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Sweden – FI Announces End to Temporary .1% Net Short Reporting Threshold
On 15 March 2021, SWE FI said temporary lowering of limit ceases soon. SWE FI said temporary lowering of limit to notify short net position ceases on 19 March 2021. Follows SWE FI February 2021 reminded market of the rules for short selling. Follows ESMA March 2021 will not renew decision on net short positions.…
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Sweden – FI Reporting Information FAQs
On 12 October 2020, SWE FI issued improved reporting Q&A information. SWE FI announced it had issued more easily accessible company reporting questions and answers on its website, improved structure to make information more transparent. Report page now has banking, insurance, markets, money laundering Q&A sections. FI regularly publishes new questions and answers to clarify…
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E. U. – ESMA on Removing Short Selling Bans Close
On 18 May, ESMA noted non-renewal of national short-sale bans. ESMA notes non-renewal of the restrictions on short selling and similar transactions. Follows ESMA April 2020 issued positive opinions on ban extensions. Follows AIMA May 2020 issued joint letters to national authorities. Expiration of Bans Finanzmarktaufsicht (FMA) of Austria; Financial Securities, Markets Authority (FSMA) of…
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E.U. – Short Sale Market-Making
On 3 December 2019, EU ESMA published compliance table re guidelines on short-selling. Background On 1 February 2019, ESMA issued guidelines on short selling exemption for market making. Criteria to be met for market making exemption, and conditions to assess notification. Market maker to be member of venue that trades instrument, conducts market making. Qualifying…
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