*Letters

SEC Proposed Amendments to Regulation SHO

Published on:
September 19, 2006

The Securities Industry Association (SIA)* provides comments to the Securities and Exchange Commission (SEC) on proposed amendments to Regulation SHO (Reg SHO), Release No. 34-54154; File No. S7-12-06.  The proposed amendments would eliminate the Reg SHO “grandfather” provision, and narrow the options market maker exemption for certain index arbitrage activities.  SIA cautions the SEC to not impose additional requirements in the rule that could have unintended consequences and negatively impact the efficient functioning of stock lending and clearance and settlement options, as well as the markets as a whole.

*SIFMA is the product of a merger between the Securities Industry Association (SIA) and The Bond Market Association (TBMA) in 2006.

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