Effective September 29, 2008, the SEC adopted interim rule Form SH, requiring some investment managers to submit weekly filings detailing their short sale activity. The Form includes an Information Table that must be filed with the SEC in the XML data format.
RR Donnelley has created a custom template to assist you in the creation of Form SH. The template was designed to work seamlessly with RR Donnelley's XML conversion system, streamlining the process for you. The entire Form - set up per the SEC's requirements - is provided in one Excel workbook, so you have everything you need in one place.
Using this form for your initial translation and subsequent alterations will expedite the production of your Form SH.
Summary
"The Commission adopted an interim final temporary rule requiring certain institutional investment managers to file information on Form SH concerning their short sales and positions of section 13(f) securities, other than options….The rule requires an institutional investment manager that exercises investment discretion with respect to accounts holding section 13(f) securities having an aggregate fair market value of at least $100 million to file Form SH with the Commission following a calendar week in which it effected a short sale in a section 13(f) security, with some exceptions."
For the full ruling, please read the SEC's Interim final temporary rule: Disclosure of Short Sales and Short Positions by Institutional Investment Managers, Release No. 34-58785; File No. S7-31-08
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