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March 16, 2022

SEC Proposes New Rules for Short Sale Disclosures and Order Marking Requirements

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On February 25, 2022 the SEC proposed new Rule 13f-2 to provide greater transparency through the publication of certain short sale data to investors and other market participants. It also proposed Rule 205, which would establish a new “buy to cover” order marking requirement for certain purchase orders effected by a broker-dealer for its own …

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The Canadian Securities Administrators Signals Increased Attention on Cross Market Surveillance

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At the end of January, the Canadian Securities Administrators (CSA) announced that the Investment Industry Regulatory Organization of Canada (IIROC) and the Montréal Exchange (MX) have entered into a Memorandum of Understanding (MoU) regarding cross-market surveillance. The primary objective is to “assist in the development, administration, coordination and fulfillment of the cross-market surveillance mandate.” The …

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