SEC Emergency Order re: Short Selling
SEC Webpage Containing Emergency Orders and Related Information
I. SEC Emergency Order Requiring Hard Delivery
- SEC Interim Final Rule (October 14, 2008)
- SEC Statement Concerning Short Selling (October 1, 2008)
- Order Extending Emergency Order (October 1, 2008)
- SEC FAQ (September 23, 2008)
- SEC Emergency Order Requiring Hard Delivery & Imposing Penalties (September 17, 2008)
- SEC Press Release re New Naked Short Sale Rule (September 17, 2008)
- Regulator Tips For Broker-Dealers to Avoid Fails to Deliver (September 18, 2008)
II. SEC Emergency Order Requiring Institutional Money Managers to Report New Short Sales
- Order Amending and Extending Emergency Order Requiring Institutional Money Managers to Report New Short Sales (October 2, 2008)
- SEC FAQ re Disclosure of Short Selling (September 24, 2008)
- SEC Amended Order re New Disclosure Requirement (September 21, 2008)
- SEC Order (September 18, 2008)
- Interim Special Instructions for Filing of Temporary Form SH on EDGAR
- Cox Statement re Hedge Fund Disclosure (September 17, 2008)
III. SEC Emergency Order Halting Short Selling In Financial Stocks
- Order Extending Emergency Order Halting Short Selling in Financial Stocks (October 2, 2008)
- Amended Emergency Order re Financial Stocks (September 21, 2008)
- Press Statement re Amended Order (September 21, 2008)
- Emergency Order re Financial Stocks (September 18, 2008)
- Press Statement re Emergency Orders (September 19, 2008)
- Exchange Lists of Securities Subject to SEC Ban:
IV. SEC Order Eliminating Market Maker Exemption Under Regulation SHO
- SEC Order (October 14, 2008)
V. SEC Order Easing Restrictions on Issuers Re-Purchase of Their Shares
- Amended Order (October 1, 2008)
- Original Order (September 18, 2008)
VI. SEC New Naked Short Sale Anti-Fraud Rule 10b-21
- SEC Final Rule (October 14, 2008)
- SEC Proposed Rule (March 17, 2008)
- SIFMA Comment Letter on Release Number 34-57511, Proposed Rule 10b-21 (May 22, 2008)
VII. Exchange Related Information
- CBOE SEC Emergency Orders Page
- CBOE Circular re Short Sale Ban Duration (September 29, 2008)
- CBOE Circular re SEC Short Sale Order (September 19, 2008)
- NYSE Webcast: NYSE Euronext Senior Management Addresses Issuer Community (October 1, 2008)
- NYSE Webcast re SEC Emergency Orders (September 24, 2008)
- FINRA Regulatory Notice 08-50 re Short Selling (September 25, 2008)
- NASDAQ Trader Regulatory Alert re SEC Short Sale Ban Order (September 22, 2008)
- NASDAQ Regulatory Alert 2008-027 re Short Selling (September 24, 2008)
VIII. Global Information:
- FSA Release re Trading Short Sales in Financial Stocks (September 18, 2008)
- FSA FAQ (September 23, 2008)
- CERS Published List of Measures Taken by Members re Short Selling (September 22, 2008)