federal_register: E7-12868
Data license: Public Domain (U.S. Government data) · Data source: Federal Register API & Regulations.gov API
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| document_number | title | type | abstract | publication_date | pub_year | pub_month | html_url | pdf_url | agency_names | agency_ids | excerpts | regulation_id_numbers |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| E7-12868 | Regulation SHO and Rule 10a-1 | Rule | 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. | 2007-07-03 | 2007 | 7 | https://www.federalregister.gov/documents/2007/07/03/E7-12868/regulation-sho-and-rule-10a-1 | https://www.govinfo.gov/content/pkg/FR-2007-07-03/pdf/E7-12868.pdf | Securities and Exchange Commission | 466 | 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... |