Article: A Short Summary Of Short Selling Regulations.

Article: Regulators Say Reg SHO is Working.
Business Wire;  January 24, 2006 ;     624 words ......The forum was designed to examine how well Reg SHO, a regulation designed to modernize rules...members to make sure they are complying with Reg SHO. NYSE officials noted later that when Reg SHO went into effect in January 2005, the exchange...

Article: DTCC Media Statement; Media Statement on Robert Shapiro's Report on Naked Short Sales.
Business Wire;  March 16, 2006 ;     558 words ......handled by DTCC. --Mr. Shapiro asserts that Reg SHO has not reduced the total number of outstanding...was within the first three months under Reg SHO (see table 1, pg 5). --Mr. Shapiro is...bodies for reporting on and the policing of Reg SHO compliance. DTCC's subsidiaries do not...

Article: SEC Extends Emergency Rules Regarding Short Selling And Stock Repurchases.
Mondaq Business Briefing;  October 23, 2008 ;     700+ words ......after the trade date (the short sale closeout requirement) is extended to now expire at 11...on Naked Short Selling Short Sale Closeout Requirement and Penalties for Violation The...If a short sale violates this closeout requirement, then any broker-dealer acting on...

Article: SEC Issues Emergency Rules Regarding Short Selling And Stock Repurchases.(United States. Securities and Exchange Commission)
Mondaq Business Briefing;  October 13, 2008 ;     700+ words ......34-58572.pdf. New Rules on Naked Short Selling Short Sale Closeout Requirement and Penalties for Violation The SEC has added new provisions...transaction date or T+3). If a short sale violates this closeout requirement, then any broker-dealer acting on the short seller's...

Article: The Fed/ Treasury Gave Us TARP - How Will The SEC Protect The Market From Exposure To Naked Short Sales And Other Abusive Transactions?
Mondaq Business Briefing;  March 17, 2009 ;     700+ words ......institutions, including, among others, Lehman Brothers, Morgan Stanley, Goldman Sachs and Merrill Lynch; (ii) a hard T+3 closeout requirement; (iii) eliminating the options market maker exception of Regulation SHO; (iv) measures to target fraud involving short...

Article: SEC Issues Guidance Regarding SEC's Previous Emergency Order Regarding "Naked" Short Selling.(United States. Securities and Exchange Commission)
Mondaq Business Briefing;  September 24, 2008 ;     700+ words ......in the client alert we issued earlier this evening. These FAQs deal with the close-out provisions of temporary Rule 204T of Reg SHO, which was adopted by the SEC in an emergency order on September 17, 2008. Because we feel that these FAQs are critical to our...

Article: NS8 Corporation Addresses Involuntary Listing on the Berlin Stock Exchange.
Business Wire;  March 22, 2005 ;     472 words ......shares from the Berlin Exchange. The listing appears to have been timed to coincide with the new anti-naked shorting regulation, Reg. SHO, which came into effect on April 1, 2004. From research conducted by the Company, it appears that this listing has created a...

Article: The Treasury, FDIC, FRB, OCC And OTS Release Application Guidelines For The TARP Capital Purchase Program.(Department of the Treasury. Troubled Asset Relief Program)(Federal Deposit Insurance Corp.)(Office of Thrift Supervision)(Troubled Asset Relief Program)
Mondaq Business Briefing;  October 22, 2008 ;     700+ words ......SEC Eliminates Regulation SHO Options Market Maker Exception and Provides Guidance on Bona Fide Marketing for Purposes of the Reg SHO Market Maker Exception SEC Adopts Interim Final Temporary Rule Requiring Delivery on Long and Short Sales and Imposing Penalties...

Article: House of Brussels Addresses and Warns Shareholders of Unauthorized Listing of its Common Shares on the Berlin Stock Exchange.
Business Wire;  May 27, 2004 ;     682 words ......March 2004, perhaps coincidentally timed to seamlessly create a back door to circumvent the new anti-naked shorting regulation, Reg. SHO, that was put into effect April 1, 2004 by US regulatory authorities. Apparently, the Berlin listing creates a sham arbitrage...

Article: DTCC Supports SEC Initiative to Make Trade Failure Data Publicly Available.
Business Wire;  June 19, 2007 ;     655 words ......released to the public, without the need for a FOIA request. DTCC had recommended in a comment letter to the SEC last September on Reg SHO reform, that such data could be released publicly without putting at risk the confidentiality of participant securities holdings...

Article: DTCC Calls Euromoney Article on Its Stock Borrow Program and Naked Short Selling ''Sloppy Journalism''.
Business Wire;  March 31, 2005 ;     519 words ......neither DTCC nor its subsidiaries have the power to force buy-ins by member firms, and the fact that DTCC is not required under Reg SHO or any other U.S. regulation to release confidential customer information on the number of fails to issuers, only to regulators...

Article: NIRI Survey Respondents Strongly Support SEC's Proposed Short Sale Reforms.
Business Wire;  May 4, 2009 ;     364 words ......long positions, short positions and derivative positions. We plan to include these important survey results in NIRI's upcoming Reg SHO comment letter to the SEC. About National Investor Relations Institute (NIRI) Founded in 1969, NIRI is the professional association...

Article: DTCC Corrects Misrepresentation on Naked Short Selling Litigation.
Business Wire;  January 27, 2006 ;     700+ words ......stated, fails can be the result of a wide range of factors. The SEC has also pointed out that their efforts, in promulgating Reg SHO to effectively safeguard extended fails associated with short selling or naked short selling have been successful in achieving...