Demystifying the new Proposed SEC Short Selling form 13f-2 Disclosure - Current versus Proposed

Post by Suat Kheng, Business Analyst

On Feb 25, 2022, the Securities and Exchange Commission (SEC) issued a new Proposed Rule 13f-2 requiring institutional investment managers to file with the SEC, on a monthly basis, end-of-the-month short positions and certain daily activity affecting such short positions.

A short sale is a transaction in which the seller sell stock or other securities or commodities which he does not own at the time, but borrows it from the broker-dealer through which he is placing the sell order, in the hope of buying at a lower price before the delivery time.

The minimum thresholds under the proposed rule are as follows:

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