federal_register: E7-15709

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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
E7-15709 Amendments to Regulation SHO Proposed Rule The Securities and Exchange Commission ("Commission") is re- proposing amendments to Regulation SHO under the Securities Exchange Act of 1934 ("Exchange Act"). The proposed amendments are intended to further reduce the number of persistent fails to deliver in certain equity securities by eliminating the options market maker exception. In addition, we are requesting comment regarding specific alternatives to our proposal to eliminate the options market maker exception. We are also proposing an amendment to the long sale marking provisions of Regulation SHO that would require that brokers and dealers marking a sale as "long" document the present location of the securities being sold. 2007-08-14 2007 8 https://www.federalregister.gov/documents/2007/08/14/E7-15709/amendments-to-regulation-sho https://www.govinfo.gov/content/pkg/FR-2007-08-14/pdf/E7-15709.pdf Securities and Exchange Commission 466 The Securities and Exchange Commission ("Commission") is re- proposing amendments to Regulation SHO under the Securities Exchange Act of 1934 ("Exchange Act"). The proposed amendments are intended to further reduce the number of persistent fails to... 3235-AJ57

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