Short selling

Announcements
Regulatory guide
Consultation paper
Instruments

Announcements

Reporting of short position information - FIX Rules of Engagement, 25 November 2009
ASIC provides hedging relief to market makers, 09-182AD, 24 September 2009
ASIC lifts ban on covered short selling of financial securities, MR09-94, 25 May 2009
Consultation paper - Short selling to hedge risk from market making activities, 30 April 2009
ASIC extends ban on covered short selling of financial securities, MR09-36, 5 March 2009
ASIC extends ban on covered short selling of financial securities, MR09-05, 21 January 2009
Continuation of exemptions in relation to naked short selling, AD09-02, 7 January 2009
ASIC lifts ban on covered short selling for non-financial securities, AD08-65, 13 November 2008
Requirements for disclosure and reporting of short sales from 19 November 2008, ASIC market advice, 12 November 2008
Victorian share trader to face ASIC short selling charges, AD08-53, 6 November 2008
Requirements for disclosure and reporting of short sales from 19 November 2008, 08-211, 28 October 2008
Short selling relief for convertible securities expanded, AD08-44, 27 October 2008
ASIC extends ban on covered short selling, 08-210, 21 October 2008
No action position for owners selling from stock lending portfolios, AD08-23, 24 September 2008
Update on ASIC’s response to short selling, AD08-22, 23 September 2008
ASIC advice to ASX market participants regarding hedging existing transactions, AD08-20 , 22 September 2008
Covered short selling not permitted, 08-205, 21 September 2008
Naked short selling not permitted and covered short selling to be disclosed, 08-204, 19 September 2008

Regulatory guide

Short selling: overview of s1020B, RG 196, September 2008

Consultation paper

Consultation paper - Short selling to hedge risk from market making activities, CP 106, 30 April 2009

Instruments

Class order number	Title	Date issued
[CO 09/1063]	Revocation of Class Order [CO 08/751] and variation of Class Order [CO 08/764] Explanatory statement	8 December 2009
[CO 09/774]	Naked short selling relief for market makers Explanatory statement	18 September 2009
[CO 09/39]	Variation of Class Order [CO 08/751] ([CO 08/751] revoked 11/12/2009: see [CO 09/1063]) Explanatory statement	25 May 2009
[CO 09/1052]	Variation of Class Order [CO 08/751] ([CO 08/751] revoked 11/12/2009: see [CO 09/1063]) Explanatory statement	5 January 2009
[CO 09/1051]	Short selling relief: Exchange traded options, unobtained financial products and certain bonds and debentures Explanatory statement	5 January 2009
[CO 08/824]	Variation of Class Orders [CO 08/751] and [CO 08/764] ([CO 08/751] revoked 11/12/2009: see [CO 09/1063]) Explanatory statement	13 November 2008
[CO 08/801]	Variation of Class Order [CO 08/751] ([CO 08/751] revoked 11/12/2009: see [CO 09/1063]) Explanatory statement	24 October 2008
[CO 08/764]	Short selling - exercise of exchange-traded options	23 September 2008
[CO 08/763]	Variation of Class Order [CO 08/751] ([CO 08/751] revoked 11/12/2009: see [CO 09/1063])	23 September 2008
[CO 08/753]	Variation of Class Order [CO 08/751] ([CO 08/751] revoked 11/12/2009: see [CO 09/1063]) Explanatory statement	22 September 2008
[CO 08/752]	Variation of Class Order [CO 08/751] ([CO 08/751] revoked 11/12/2009: see [CO 09/1063]) Explanatory statement	21 September 2008
[CO 08/751]	Covered short sales (revoked 11/12/2009: see [CO 09/1063]) Explanatory statement	19 September 2008

Short selling reporting - FIX rules of engagement

The FIX Rules of Engagement document provides the technical specifications for Information Vendors and those parties seeking to send FIX Position Report messages to ASIC via direct (point-to-point) FIX connections.

ASIC Website: Printed 02/10/2010

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