Series 14: 2.8.4.1. Regulation SHO

Taken from our Series 14 Online Guide

2.8.4.1. Regulation SHO

Regulation SHO was enacted in 2005 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 two-day settlement period, it is called a “failure to deliver.” When many sellers choose to naked short sell, the result

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