Short Sales and Positions

Overview

This page provides information on (i) Regulation SHO, which is principal securities law requirements applicable to selling short, (ii) Rule 105 of Regulation M, which prohibits certain short sales in advance of an investor purchasing to cover out of a distribution and closely related FINRA requirements as to making delivery on short sales and the reporting of short positions. See also the topic pages on (i) Margining of Short Positions, (ii) Partial Tenders and Short Tendering, (iii) Securities Trading Halts and (iv) Securities Lending.

Steven.Lofchie@cwt.com's picture
Contributor Organization 
Contributor Title 
Partner
Patrick.Calves@cwt.com's picture
Contributor Organization 
Contributor Title 
Associate

Find

 
Find: 

Regulation SHO

Other SEA Rules

Rescinded SEA Rules Replaced by Reg SHO

FINRA Rules and Materials

 

Know

 
Know: 

Lofchie's Guide to Broker-Dealer Regulation