Securities and Exchange Commission March 2008 – Federal Register Recent Federal Regulation Documents
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Proposed Rule Changes of Self-Regulatory Organizations
The Securities and Exchange Commission (``Commission'') is adopting rule amendments to require Self-Regulatory Organizations (``SROs'') that submit proposed rule changes pursuant to Section 19(b)(7)(A) of the Securities Exchange Act of 1934 (``Act'') to file these rule changes electronically. In addition, the Commission is adopting rule amendments to require SROs to post all such proposed rule changes on their Web sites. Together, the amendments are designed to expand the electronic filing by SROs of proposed rule changes, making it more efficient and cost effective, and to harmonize the process of filings made under Section 19(b)(7)(A) with that for filings made by SROs under Section 19(b)(1) of the Act.
``Naked'' Short Selling Anti-Fraud Rule
The Securities and Exchange Commission (``Commission'') is proposing an anti-fraud rule under the Securities Exchange Act of 1934 (``Exchange Act'') to address fails to deliver securities that have been associated with ``naked'' short selling. The proposed rule is intended to highlight the liability of persons that deceive specified persons about their intention or ability to deliver securities in time for settlement, including persons that deceive their broker-dealer about their locate source or ownership of shares and that fail to deliver securities by settlement date.
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