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.
thinkorswim trade w/ advanced trading tools. Open an account and get up to $600!
Get real-time option chains & test new positions with TradeStation. Learn more.
Get pricing that fits your options trading style with TradeStation. Learn more.
Trade free for 60 days on thinkorswim from TD Ameritrade.
Save 20% on commissions through September 2016. Open a TradeStation account today!
OptionsHouse awarded #1 Web Based Platform in StockBrokers.com 2016 Review!
Reviews are in! IBD rates OptionsHouse as #1 Best Options Trading Platform.
OptionsHouse Rated 4.5 Stars + Best For Options Traders in Barron's 2016 Review.
Open & fund an OptionsHouse account to get up to 1,000 in commission-free trades