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LAST UPDATE:
Comments to SEC RE: REG SHO with Appendix Attached: Pertinent Data on Fails from Reg SHO Proposing Release and OEA Memo - pdf 5.0, Sept. 19, 2006
BACKGROUND
On October 28, 2003, the SEC proposed Regulation SHO, a far-reaching initiative for the regulation of short sales. After months of reviewing a significant number of comment letters received, including two from the SIA, the SEC adopted Regulation SHO on June 23, 2004.
