Compliance with Regulation SHO began on January 3, 2005. Regulation SHO was adopted to update short sale regulation in light of numerous market developments since short sale regulation was first adopted in 1938.
Regulation SHO includes rules for marking (long, short and short exempt), locate, delivery, and close-out requirements and a short sale "circuit breaker" price test.
The text of Regulation SHO (17 CFR § 242.200 - 204) can be viewed on the SEC web site, www.sec.gov. For further information on Regulation SHO, please also refer to the SEC's "Spotlight on Short Sales" web page, located at: http://www.sec.gov/spotlight/shortsales.shtml.
Trade options, stocks, futures + forex all on thinkorswim from TD Ameritrade.
Lower your costs to maximize your return.
OPTIONS+ is the new mobile options calculator for iPhone users. Download it today.
Trade with TradeStation. Voted best for options traders by Barron's 2015
Get OptionStation Pro. Analyze and trade options spreads efficiently from one window.
TradeStation is Ranked #1. Get options pricing for your style. Learn more
Download CBOE's new iOS app featuring detailed quotes & option chains, CBOETV, interactive courses, and more.
*Third Party Advertisement