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Regulation SHO and Rule 10a-1

SEC · final-rule · Published 2007-07-03 · Effective 2007-07-03 · 72 FR 36348

Document

Document number
E7-12868
Federal Register citation
72 FR 36348
CFR reference
17 CFR 240
Type
Rule
Action
Final rule.
Category
final-rule
Agency
US Securities and Exchange Commission
Publication date
2007-07-03
Effective date
2007-07-03
Docket
Release No. 34-55970

Abstract

The Securities and Exchange Commission ("Commission") is amending the short sale price test under the Securities Exchange Act of 1934 ("Exchange Act"). The amendments are intended to provide a more consistent regulatory environment for short selling by removing restrictions on the execution prices of short sales ("price tests" or "price test restrictions"), as well as prohibiting any self- regulatory organization ("SRO") from having a price test. In addition, the Commission is amending Regulation SHO to remove the requirement that a broker-dealer mark a sell order of an equity security as "short exempt," if the seller is relying on an exception from a price test.

Source

Authoritative
Federal Register document
Machine
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