United States Government Publishing Office publisher pbl distributor dst United States National Archives and Records Administration Office of the Federal Register author aut Government Organization text government publication eng FR Regulatory Information 2006_register executive 2010-09-22 article Part V Proposed Rules D09002ee1c80de806 D09002ee1c80de9d6 United States Securities and Exchange Commission originator org United States Government Agency or Subagency The Securities and Exchange Commission ("Commission" or "SEC") is proposing to amend the short sale price test under the Securities Exchange Act of 1934 ("Exchange Act"). The proposed amendments are intended to provide a more consistent regulatory environment for short selling by removing restrictions on the execution prices of short sales ("price tests" or "price test restrictions"), as well as prohibiting any self-regulatory organization ("SRO") from having a price test. In addition, the Commission is proposing to amend Regulation SHO to remove the requirement that a broker-dealer mark a sell order of an equity security as "short exempt," if the seller is relying on an exception from a price test. 71 FR 75068 https://www.govinfo.gov/app/details/FR-2006-12-13/E6-21156 E6-21156 fr13de06-28 RIN 3235-AJ76 8011-01-P Release No. 34-54891 File No. S7-21-06 https://www.govinfo.gov/app/details/FR-2006-12-13/E6-21156 https://www.govinfo.gov/content/pkg/FR-2006-12-13/html/E6-21156.htm https://www.govinfo.gov/content/pkg/FR-2006-12-13/pdf/E6-21156.pdf Brokers Fraud Reporting and Recordkeeping Requirements Securities 15 p. 75068 75082 71 FR 75068 Title 17 Part 240 17 CFR Part 240 Title 17 Part 242 17 CFR Part 242 RIN 3235-AJ76 Amendments to Regulation SHO and Rule 10a-1; Federal Register Vol. 71, Issue PRORULE E6-21156 V SECURITIES AND EXCHANGE COMMISSION 2007-02-12 Release No. 34-54891 File No. S7-21-06 8011-01-P E6-21156 Proposed rule.

The Securities and Exchange Commission ("Commission" or "SEC") is proposing to amend the short sale price test under the Securities Exchange Act of 1934 ("Exchange Act"). The proposed amendments are intended to provide a more consistent regulatory environment for short selling by removing restrictions on the execution prices of short sales ("price tests" or "price test restrictions"), as well as prohibiting any self-regulatory organization ("SRO") from having a price test. In addition, the Commission is proposing to amend Regulation SHO to remove the requirement that a broker-dealer mark a sell order of an equity security as "short exempt," if the seller is relying on an exception from a price test.

Comments should be received on or before February 12, 2007. James A. Brigagliano, Acting Associate Director, Josephine J. Tao, Branch Chief, Lillian Hagen, Special Counsel, Victoria L. Crane, Special Counsel, Office of Trading Practices and Processing, Division of Market Regulation, at (202) 551- 5720, at the Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-6628. Brokers Fraud Reporting and Recordkeeping Requirements Securities rule-comments@sec.gov http://www.regulations.gov http://www.sec.gov/about/economic/shopilot091506/draft_reg_sho_pilot_report.pdf http://www.sec.gov/about/economic/shopilottrans091506.pdf http://www.sec.gov/rules/proposed.shtml Vol. 71, no. 239 Office of the Federal Register, National Archives and Records Administration 2006-12-13 continuing daily deposited born digital 336 p. Table of Contents: AE 2.7: GS 4.107: AE 2.106: KF70.A2 https://www.govinfo.gov/app/details/FR-2006-12-13 P0b002ee18094d387 0097-6326 0042-1219 0364-1406 769-004-00000-9 000582072 f:fr13de06 https://www.govinfo.gov/app/details/FR-2006-12-13 https://www.govinfo.gov/content/pkg/FR-2006-12-13/pdf/FR-2006-12-13.pdf https://www.govinfo.gov/content/pkg/FR-2006-12-13/xml/FR-2006-12-13.xml fdlp 74755 75082 DGPO 2010-09-22 2024-06-05 FR-2006-12-13 machine generated eng FR FR-2006-12-13 71 239