Short Selling: Regulation and Reporting Requirements | Practical Law

Short Selling: Regulation and Reporting Requirements | Practical Law

An overview of the federal securities laws governing short selling of securities. This Note examines how a short sale is effected, naked short selling, the requirements of Regulation SHO, the trade settlement rules for sales of securities, and the antifraud rules applicable to short selling. This Note also includes a discussion of the application of Regulation M to short sales and the manner in which Section 5 of the Securities Act is triggered.

Short Selling: Regulation and Reporting Requirements

Practical Law Practice Note 0-384-8335 (Approx. 15 pages)

Short Selling: Regulation and Reporting Requirements

by Practical Law Corporate & Securities
MaintainedUSA (National/Federal)
An overview of the federal securities laws governing short selling of securities. This Note examines how a short sale is effected, naked short selling, the requirements of Regulation SHO, the trade settlement rules for sales of securities, and the antifraud rules applicable to short selling. This Note also includes a discussion of the application of Regulation M to short sales and the manner in which Section 5 of the Securities Act is triggered.