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Spotlight on Short Sales

Short selling is generally defined as the sale of securities that an investor does not own or has borrowed. The SEC has approved a number of rules and taken other actions pertaining to short selling to promote market stability, preserve investor confidence, and increase short sale transparency.

Play video of SEC Chairman Schapiro discussing short selling

Chairman Schapiro discusses new short selling protections for investors.

News

SEC Approves Short Selling Restrictions
The SEC recently adopted an alternative uptick rule that places certain restrictions on short selling when a stock is experiencing significant downward pressure. More

SEC Takes Steps to Curtail Abusive Short Sales and Increase Market Transparency

Reports, Studies and Data

SEC Final Rulemakings

Final Rule: Amendments to Regulation SHO (February 26, 2010)
Final Rule: Amendments to Regulation SHO (July 27, 2009)
Final Rule: Amendments to Regulation SHO (October 14, 2008)
Final Rule: Amendments to Regulation SHO (October 14, 2008)
Final Rule: Amendments to Regulation SHO (August 7, 2007)
Final Rule: Amendments to Regulation M (August 6, 2007)
Final Rule: Amendments to Regulation SHO and Rule 10a-1 (June 28, 2007)
Final Rule: Short Sales (July 28, 2004)

SEC Proposed Rulemakings

Other Information

http://www.sec.gov/spotlight/shortsales.shtml

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