Securities Law Prof Blog

Editor: Eric C. Chaffee
Univ. of Toledo College of Law

Thursday, September 18, 2008

More on Short-Selling

The SEC's Division of Markets and Trading, along with FINRA and NYSER, issued “Tips” for Broker-Dealers on Avoiding Failures to Deliver Securities and reminded them of their responsibilities to maintain adequate surveillances and written supervisory procedures to detect manipulative short selling activity.  It also advised them that "Regulators will also monitor for compliance with the SEC’s new rules to protect investors against naked short selling abuses, effective Thursday September 18, 2008.

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