Regulatory Alerts2023-11-01 | 2023-23050Added
Short Position and Short Activity Reporting by Institutional Investment Managers
The Securities and Exchange Commission adopted Rule 13f-2 and Form SHO to require institutional investment managers meeting specific thresholds to report monthly short position and activity data for equity securities. This final rule implements Section 13(f)(2) of the Dodd-Frank Act to enhance market transparency by making short sale-related data publicly available to investors and other market participants. The Commission also amended the Consolidated Audit Trail National Market System Plan to require reporting of reliance on the bona fide market making exception under Regulation SHO.
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