The SEC set an effective date of January 2, 2024 for new Exchange Act requirements for reporting on certain short positions in equity securities and related trading activity.
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In an annual report, the SEC Division of Examinations identified current risks for investors and registrants and highlighted key areas for examination in 2024.
The SEC adopted a new Exchange Act Rule requiring 'institutional investment managers' to report, on new Form SHO, information as to certain short positions in equity securities and related trading activity.
The SEC charged an investment adviser and its principal trader for manipulative trading by mismarking orders and engaging in "naked" short selling.
Two affiliated investment advisers settled SEC charges for failing (i) to disclose conflicts of interest associated with certain revenue sharing agreements and (ii) to seek best execution for their clients.