Securities and Exchange Commission – Federal Register Recent Federal Regulation Documents
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Notice of the Text of the Amendment to the National Market System Plan Governing the Consolidated Audit Trail for Purposes of Short Sale-Related Data Collection
The Securities and Exchange Commission (``Commission'') is publishing notice of the text of the adopted amendment 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- 98738, ``Short Position and Short Activity Reporting by Institutional Investment Managers'' (``Adopting Release''), published elsewhere in this issue of the Federal Register.
Short Position and Short Activity Reporting by Institutional Investment Managers
The Securities and Exchange Commission (``Commission'') is adopting a new rule and new Form SHO pursuant to the Securities Exchange Act of 1934 (``Exchange Act'') and the Dodd-Frank Wall Street Reform and Consumer Protection Act (``DFA''). The new 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 new rule, institutional investment managers that meet or exceed certain specified reporting thresholds are required to report, on a monthly basis using the related form, specified short position data and short activity data for equity securities. In addition, the Commission is adopting an amendment to the national market system (``NMS'') plan governing the consolidated audit trail (``CAT'') created pursuant to the Exchange Act to require the reporting of reliance on the bona fide market making exception in the Commission's short sale rules. The Commission is publishing the text of the amendments to the NMS plan governing the CAT (``CAT NMS Plan'') in a separate notice.
Privacy Act of 1974; System of Records
The Securities and Exchange Commission (SEC) proposes to establish SEC-36, Harassment Prevention and Response Program Records under the Privacy Act of 1974. The information in the system concerns internal inquiries and/or investigations into allegations of harassment reported to SEC by applicants for employment, current and former SEC employees, fellows, interns, and individuals who conduct business with the SEC; and resolutions of allegations of workplace harassment. The Harassment Prevention and Response Program addresses harassment concerns that are raised separate and apart from harassment claims that may also be raised under the procedures for administrative equal employment opportunity complaints.
Submission for OMB Review; Comment Request; Extension: Form 6-K-Exchange Act Rules 13a-16 and 15d-16
Investment Company Names; Correction
This document makes a technical correction to the preamble accompanying amendments to the rule under the Investment Company Act of 1940 that addresses certain broad categories of investment company names that are likely to mislead investors about an investment company's investments and risks, as adopted in Release No. IC-35000 (September 20, 2023), which was published in the Federal Register on October 11, 2023.
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