Rule 204 is intended to help further the Commissions goal of reducing fails to deliver by maintaining the reductions in fails to deliver achieved by the adoption of temporary Rule 204T, as well as other actions taken by the Commission. In addition, Rule 204 is intended to help further the Commissions goal of addressing abusive naked short selling in all equity securities. The information collected will continue to assist the Commission and self-regulatory organizations in monitoring whether or not participants of a registered clearing agency, and the broker-dealers from which they receive trades for clearance and settlement, are complying with the close-out and borrowing requirements of the rule.
The latest form for Rule 204 expires 2022-02-28 and can be found here.
Document Name |
---|
Supplementary Document |
Supplementary Document |
Supporting Statement A |
Approved without change |
Extension without change of a currently approved collection | 2022-01-20 | |
Approved without change |
Extension without change of a currently approved collection | 2018-11-14 | |
Approved without change |
Extension without change of a currently approved collection | 2015-10-08 | |
Approved without change |
Extension without change of a currently approved collection | 2012-08-24 | |
Approved without change |
Extension without change of a currently approved collection | 2009-10-09 | |
Approved without change |
Revision of a currently approved collection | 2009-04-24 | |
Preapproved |
New collection (Request for a new OMB Control Number) | 2008-10-14 |
Federal Enterprise Architecture: Economic Development - Financial Sector Oversight