*Letters

SIA Submits Comments to the SEC on Short Sale Delivery Requirements

Published on:
December 14, 2005

The Regulation SHO Working Group of the Securities Industry Association (SIA)*provides comments to the Securities and Exchange Commission (SEC) on short sale delivery requirements, Release No. 34-52752; File No. SR-NASD-2044-044. The proposed change would create a new Rule 3210, which is intended to extend the delivery requirements of Regulation SHO to all non-reporting over-the-counter (OTC) equity securities that exceed an identified level of fails.

*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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