Securities and Exchange Commission March 16, 2022 – Federal Register Recent Federal Regulation Documents

Notice of the Text of the Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail for Purposes of Short Sale-Related Data Collection
Document Number: 2022-04671
Type: Notice
Date: 2022-03-16
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'') is publishing notice of the text of the proposed amendments to the National Market System Plan Governing the Consolidated Audit Trail (``CAT NMS Plan'') in connection with the Commission's issuance of Release No. 34-94313, the ``Short Position and Short Activity Reporting by Institutional Investment Managers'' (the ``Proposing Release'').
Short Position and Short Activity Reporting by Institutional Investment Managers
Document Number: 2022-04670
Type: Proposed Rule
Date: 2022-03-16
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (the ``Commission'') is proposing a new rule and related form pursuant to the Securities Exchange Act of 1934 (the ``Exchange Act''), including Section 13(f)(2), which was added by Section 929X of the Dodd-Frank Wall Street Reform and Consumer Protection Act (``DFA''). The proposed rule and related form are designed to provide greater transparency through the publication of short sale related data to investors and other market participants. Under the rule, institutional investment managers that meet or exceed a specified reporting threshold would be required to report, on a monthly basis using the proposed form, specified short position data and short activity data for equity securities. In addition, the Commission is proposing a new rule under the Exchange Act to prescribe a new ``buy to cover'' order marking requirement, and proposing to amend the national market system plan governing the consolidated audit trail (``CAT'') created pursuant to the Exchange Act to require the reporting of ``buy to cover'' order marking information and reliance on the bona fide market making exception in the Commission's short sale rules. The Commission is publishing the text of the proposed amendments to the CAT NMS Plan in a separate notice.
Proposed Collection; Comment Request
Document Number: 2022-05541
Type: Notice
Date: 2022-03-16
Agency: Securities and Exchange Commission, Agencies and Commissions
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