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Regulatory Requirements › Securities Regulation › Short Sales

Proskauer Rose LLP

SEC Releases Statement on Short Sale and Securities Lending Rules Following Remand by 5th Circuit U.S. Court of Appeals

Proskauer Rose LLP on

A three judge panel of the U.S. Court of Appeals for the Fifth Circuit recently remanded two rules adopted by the SEC in 2023 for further consideration – Rule 13f‑2 (the short sale rule) and Rule 10c1‑a (the securities...more

Morgan Lewis

Temporary Reprieve for New Short Sale Reporting on Form SHO; Filings not Due Until 2026

Morgan Lewis on

The date for complying with new Rule 13f-2 and filing Form SHO has been extended by one year. The first filings by covered institutional investment managers will now be due February 17, 2026, rather than February 14, 2025....more

Skadden, Arps, Slate, Meagher & Flom LLP

New Short Sale Reporting Due by February 14, 2025

Skadden, Arps, Slate, Meagher & Flom LLP on

The Securities and Exchange Commission (SEC) adopted new Exchange Act Rule 13f-2 and related Form SHO on October 13, 2023, which requires certain institutional investment managers (Managers) to report short-sale information...more

Proskauer Rose LLP

In A Trinity of Releases, the SEC Proposes To Make Hedging Transactions More Transparent

Proskauer Rose LLP on

If adopted, the proposals will likely impact market practices - In a trinity of proposing releases rolled out in less than three months, the SEC has comprehensively proposed to regulate the use of derivatives and short...more

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