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Risk Management Short Sales

Paul Hastings LLP

Public Company Watch: October 2023

Paul Hastings LLP on

In the October edition of our Public Company Watch, we cover key issues impacting public companies, including the SEC adopting rules modernizing beneficial ownership reporting and short sale reporting, and issuing new C&DIs...more

Dechert LLP

Lessons from FINRA’s 2019 Report on Examination Findings and Observations

Dechert LLP on

The Financial Industry Regulatory Authority published its 2019 Report on Examination Findings and Observations (2019 Report) on October 16, 2019. This marks the third annual report of FINRA findings, but in a departure from...more

Katten Muchin Rosenman LLP

SEC Issues Risk Alert on Options Trading Used to Evade Short-Sale Requirements

The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) has issued a Risk Alert regarding options trading that may circumvent Regulation SHO. Regulation SHO tightened requirements for...more

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