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Does the Order provide any other exceptions to the requirement to file a Form SH?

April 26, 2017exceptions file form requirement sh

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Does the Order provide any other exceptions to the requirement to file a Form SH?

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Yes. The Order does not require institutional investment managers to file Form SH when the manager has not effected a short sale of a Form SH Security, starting at 12:01 a.m. EDT on September 22, 2008 and thereafter. Transactions effected after the effective date of the Order to close out Pre-Existing Short Positions also should not be reported.