Will the SRO disclosure include a de minimis requirement for reporting of short positions?
Self-regulatory agencies such as the Financial Industry Regulatory Authority will publish “individual short-sale transactions in all exchange-listed equity securities,” the SEC said yesterday. Based upon the SEC release, it does not appear that the disclosures will include names of investors engaging in the short selling and will be posted a month after the transactions occur. Accordingly, based on the information provided thus far by the SEC, the required disclosures to be made on the SRO websites does not appear to include a de minimis requirement. Read the full release from the SEC here.
Related Questions
- Does the Order require disclosure of existing or outstanding short positions in Form SH Securities held prior to the effective date of the Order?
- Will the SRO disclosure include a de minimis requirement for reporting of short positions?
- Are governmental agencies exempt from the disclosure requirement under Proposition 65?
