Author : Orice M. Williams
Publisher : DIANE Publishing
ISBN 13 : 143791795X
Total Pages : 114 pages
Book Rating : 4.56/5 ( download)
Book Synopsis Regulation SHO by : Orice M. Williams
Download or read book Regulation SHO written by Orice M. Williams and published by DIANE Publishing. This book was released on 2009-12 with total page 114 pages. Available in PDF, EPUB and Kindle. Book excerpt: The SEC adopted Regulation SHO to, among other things, curb the potential for manipulative naked short selling in equity securities. Selling a security short without borrowing the securities needed to settle the trade within the standard 3-day period, can result in failures to deliver (FTD), and can be used to manipulate (drive down) the price of a security. To further address this concern, SEC recently issued an order amending Regulation SHO. This report: (1) provides an overview of Regulation SHO and related SEC actions; (2) discusses regulators' and market participants' views on the effectiveness of the rule; and (3) analyzes regulators' efforts to enforce the rule. Includes recommendations. Charts and tables.