Series 65: Regulation SHO

Taken from our Series 65 Online Guide

Regulation SHO

SEC’s Regulation SHO under the Securities Exchange Act of 1934 was enacted in 2004 to address the potential abuses of naked short selling. Naked short selling is where a short seller does not borrow or arrange to borrow the securities in advance of selling them. When sellers do not deliver the sold securities to buyers within the three-day settlement period, it is called a “failure to deliver.” When many sellers choose to naked short sell, the result can be many, many “f

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