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ARTICLE · 21 MARCH 2022

SEC Proposes New Short Position Reporting Rules For Investment Managers

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The U.S. Securities and Exchange Commission (SEC) continues its rollout of proposals to collect more data from hedge funds and other asset managers about their trading and portfolio-management activities.

United StatesFinance and Banking
Scott Budlong
Scott Budlong
Scott L. Beal
Scott L. Beal
David Hooper
David Hooper
Travis Ortiz
Travis Ortiz
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Highlights

The SEC has proposed monthly short position reporting by institutional investment managers; public comment period is open until the later of April 26 and 30 days after publication in the Federal Register

Managers would report confidentially on new Form SHO, following which the SEC would publish aggregated monthly short data

Proposed amendment to Regulation SHO would add "buy-to-cover" order-marking requirement for broker-dealers

The U.S. Securities and Exchange Commission (SEC) continues its rollout of proposals to collect more data from hedge funds and other asset managers about their trading and portfolio-management activities. The latest initiative focuses on short-selling disclosure.

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