In a vote of 3-2, the SEC adopted new rule 13f-2 and related Form SHO to provide greater transparency of short selling data from which is in response to Section 929X, Read the full article.
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Rulefinder Alerts to New Temporary Short Selling Bans
On 15 October 2023, Rulefinder alerts reported new temporary short selling bans in S Korea issuers. Effective: Short selling bans will be effective for one trading day on 16 October 2023.
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Thailand – TCH Draft Regulations on Short Selling
On 6 October 2023, Thai TCH drafted short selling and trading securities rules. Thai TCH drafted regulations on short selling on the stock exchange and trading securities with cash to increase investment options and strengthen supervision. Follows Thai SET March 2020, issued adjusted short selling regulations. Increasing Investor Confidence Common stocks that are the reference…
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U.K. – FCA Short Selling Sterling
On 3 October 2023, UK FCA updated sterling rate in short selling guidance. FCA updated its short-selling guidance page to update sterling price for calculation. Follows FCA October 2021 updated sterling price in short selling guidance. Background UK Short Selling Regulation (UK SSR) gives FCA powers to prohibit or restrict short selling, limit transactions when…
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Taiwan – FSC Short Selling Innovation Board
On 26 September 2023, TAI FSC relaxed rules for Innovation Board stocks. TAI FSC proposed amendments to Standards governing eligibility of securities for margin purchase and short sale, to enhance fundraising on Taiwan Innovation Board. To increase liquidity for Innovation Board Stocks, provide more flexibility for investors, optimize fundraising environment for innovation board, attract more…
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Norway – FSA Fines for Short Selling
On 25 Septmeber 2023, NORFSA issued Cazadores short selling penalty fee decision. NORFSA issued 11 September 2023 decision on Cazadores Investments Limited regarding advance notice of NOK 2,000,000 Flyr shares short selling violation fee and other correspondence. Follows NORFSA May 2023, fined 6 investors for short selling breaches. Overview On 16 November 2022, stock exchange…
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