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Droit SEC Rule 13f-2

New regulations to increase market transparency

The SEC is putting in place new regulations to increase market transparency, challenging institutions to re-think their compliance workflows and reporting standards. Specifically, institutions must comply with the new SEC Rule 13f-2 for reporting certain short positions starting in January 2025 or face steep fines. As written currently, there are aspects of the guidance that remain open to interpretation, which can impact the scope of asset classes, listings, and positions being considered within the implementation.

The SEC has issued some clarifications, but the implementation deadline is fast approaching. As SEC Rule 13f-2 comes into effect, how can firms increase confidence in their rule interpretations and ensure they are in-line with industry peers? Can complex processes be adapted quickly enough to meet upcoming deadlines?

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Preparing with Confidence for SEC Rule 13f-2 Reporting on Short-Selling Positions

In less than six months the U.S. Securities and Exchange Commission will require institutional investment managers to start reporting short positions in U.S. listed equity securities, under its new Rule 13f-2. However, ambiguities in Rule 13f-2 have left the industry deeply troubled over how to interpret and implement the regulation.

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Why Choose Droit for SEC Rule 13f-2?

  • Peer approved: The embedded Endoxa Rules give users the best-practice interpretation to deliver position reporting with confidence.

  • Audit friendly: Built on Droit’s patented Adept platform, the decision-making process is automated and benefits from a transparent, traceable audit record of every position evaluated.

  • Always up-to-date: Ensures access and understanding of reporting obligations based upon the latest, most relevant requirements.

  • Cost efficient: Legal interpretation is provided by A&O Shearman to Endoxa which means reduced external legal costs and internal resource demands.

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Best Solution for CFTC Reporting

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