On 7 October 2022, SEC reopened the public comment period due to a technological error. Reopened until 14 days after publication of reopening release in the federal register. Background: On Feb. 25, SEC proposed to enhance short selling disclosure reporting. Also SEC amends CAT NMS plan for short seilling disclosure report.
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12 October 2022 – Hong Kong SFC Fines for Short Selling Disclosure Failures
Hong Kong SFC Fines for EU Short Selling Reporting Failures
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6 October 2022 – U.S. FINRA Fines for Inaccurate Short Selling Disclosures
U.S. FINRA Fines for Inaccurate Short Selling Reporting
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Rulefinder Alerts to Temporary Short Selling Bans
On 6 October 2022, Rulefinder identified temporary short selling bans in two countries. Effective: 7 October 2022
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Taiwan – FSC Tightens Short Selling Rules
On 30 September 2022, TAI FSC made amendments re daily short selling orders. TAI FSC issued an order stipulating requirements for the sale of borrowed securities. Follows TAI FSC June 2021 adjusted margin purchase/short selling. Rules Combined balance of security borrowing and lending (SBL) short sale volume and margin short sales shall not exceed 25%…
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3 October 2022 – U.S. FINRA Fines For Violations of Naked Short Selling
U.S. FINRA Fines for Violating Naked Short Selling Rules
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