The U.S. Securities and Exchange Commission Monday announced several actions designed to protect against abusive short sales and improve short selling transparency.
The SEC made a temporary rule that requires broker-dealers to promptly purchase or borrow securities to deliver on a short sale into a new permanent rule. It said that it is working with several self-regulatory organizations to make short sale volume and transaction data available through the SROs’ Web sites. It is also actively considering proposals on a short sale price test and circuit breaker restrictions.
“Today’s actions demonstrate the commission’s determination to address short selling abuses while at the same time increasing public disclosure of short selling activities that affect our markets,” said SEC chairman Mary Schapiro.
Additionally, the commission intends to hold a public roundtable on September 30 to discuss securities lending, pre-borrowing, and possible additional short sale disclosures.
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