Short Activity Reporting News Today

AIMA, MFA and NAPFM file petition asking the US Court of Appeals to invalidate newly-adopted SEC rules on reporting and public disclosure of securities lending and short selling activity

AIMA, MFA and NAPFM file petition asking the US Court of Appeals to invalidate newly-adopted SEC rules on reporting and public disclosure of securities lending and short selling activity

The Securities and Exchange Commission (the “SEC”) adopted a new short position and short activity disclosure requirement under Rule 13f-2 of the Securities Exchange Act of 1934 (the...

On October 13, 2023, the Securities and Exchange Commission (the “SEC”) adopted new Rule 13f-2 (the “New Rule”) under Section 13(f)(2) of the Securities Exchange Act of 1934 (the...

The Securities and Exchange Commission on October 13, 2023, adopted two new rules under the Securities Exchange Act of 1934 expanding reporting requirements for securities lending and...

Statement on Short Position and Short Activity Reporting by Institutional Investment Managers Commissioner Mark T. Uyeda October 13, 2023

This legal update summarizes (a) the reporting requirements under Section 13 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), which are generally applicable to...

In 2022, the U.S. Securities and Exchange Commission (the “SEC”) proposed numerous new and amended rules (“proposals”) that would apply to SEC-registered investment advisers...

The U.S. Court of Appeals for the First Circuit on Jan. 3, 2023, ruled against Defendant Gregory "Emmanuel" Lemelson's request for a new trial in SEC v. Lemelson.

On Friday, October 7, the Securities and Exchange Commission (SEC) reopened the public comment period for eleven proposed rules whose comment periods closed after March 21, 2022.