Stateside shorting rules cause havoc for lawyers

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  • No consultation

    It is understood that the SEC sets the rules and that people want to comply. The problem is knowing exactly how the rules apply in the real world. Typically many of the questions clients are asking today are asked in the comment period. This time the industry had less than a week’ notice.

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  • No consultation ...

    When the SEC rolls something out on an emergency basis, it’s experimental by definition. The real question is what the SEC trying to accomplish. The answer is that it’s trying to convey a message. The key point of the rule is that they are doing something. The key message is visibility.

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