The Securities and Exchange Commission (the “SEC”) recently adopted Rule 13f-2 and Form SHO under the Securities Exchange Act of 1934 (the “Exchange Act”), implementing provisions of the Dodd-Frank ...
The date for complying with new Rule 13f-2 and filing Form SHO has been extended once more, with the first filings by covered institutional investment managers now being due February 14, 2028. The US ...
We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...
The SEC’s updated shareholding disclosure rules for substantial shareholding (SH) and short selling (SS) are now in force, with compliance deadlines continuing throughout the year. Since February 5, ...
For the second time in as many years, the Securities and Exchange Commission (SEC) — the agency dedicated to protecting everyday investors — has gifted Wall Street's elite short sellers a lengthy ...
TECH TUESDAY is a weekly content series covering all aspects of capital markets technology. TECH TUESDAY is produced in collaboration with Nasdaq. 13F-2, the first SEC-driven short-selling regulation ...
With Rule 13f-2 going live in only six months, firms need to get moving now with their implementation regardless of any potential future delay, according to David Emero, Head of Regulatory Reporting ...
We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...
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