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Disclosure of Short Sales and Short Positions by Institutional Investment Managers (Us Securities and Exchange Commission Regulation) (Sec) (2018 Edition) The Law Library

The Law Library presents the complete text of the Disclosure of Short Sales and Short Positions by Institutional Investment Managers (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition).

Updated as of May 29, 2018



The Commission is adopting an interim final temporary rule requiring certain institutional investment managers to file information on Form SH concerning their short sales and positions of section 13(f) securities, other than options. The new rule extends the reporting requirements established by our Emergency Orders dated September 18, 2008, September 21, 2008 and October 2, 2008, with some modifications. The extension will be effective until August 1, 2009. Consistent with the Orders, the rule requires an institutional investment manager that exercises investment discretion with respect to accounts holding section 13(f) securities having an aggregate fair market value of at least $100 million to file Form SH with the Commission following a calendar week in which it effected a short sale in a section 13(f) security, with some exceptions.



This ebook contains:

- The complete text of the Disclosure of Short Sales and Short Positions by Institutional Investment Managers (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition)

- A dynamic table of content linking to each section

- A table of contents in introduction presenting a general overview of the structure