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Intercontinental ExchangeDateSymbolShort Exempt Short Volume VolumeTotal Volume20240919 20240919MarketAA0550860234MAAAU0100100M20240919AACT0501501M20240919AADI0180206M20240919AAL044124956M20240919AAOI033744448M20240919AAON029784243M20240919AAP055798002M20240919AAPL200102341330653M20240919AAPU00100M20240919AAT020122093M20240919AB0106190M20240919ABAT0888888M20240919ABBV447636

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How to fill out short exempt short volume

01

Gather the necessary data: Identify the securities involved in the short sale.

02

Determine the reason for the short exempt designation, ensuring it falls under Regulation SHO exemptions.

03

Access the appropriate reporting platform or form for submitting the short exempt short volume.

04

Fill in the required fields: Include the date, security identifier (like the CUSIP), and the volume of exempt short sales.

05

Double-check the accuracy of the information provided to avoid errors.

06

Submit the completed form or report according to regulatory deadlines.

Who needs short exempt short volume?

01

Securities firms and traders who engage in short selling activities.

02

Regulatory bodies seeking transparency in short selling practices.

03

Investors who need to understand market activities related to short sales.

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What is short exempt short volume?

Short exempt short volume refers to the volume of short sales that are exempt from the usual reporting requirements, typically because the transactions are made under specific circumstances that meet regulations set by the SEC.

Who is required to file short exempt short volume?

Broker-dealers are required to file short exempt short volume reports to provide regulators with information regarding these specific transactions.

How to fill out short exempt short volume?

To fill out short exempt short volume, broker-dealers must indicate the number of exempt short sales on their reporting forms, providing necessary details such as the date of transactions and the identity of the security.

What is the purpose of short exempt short volume?

The purpose of short exempt short volume reporting is to enhance transparency in the market and allow regulatory bodies to monitor short selling activities that could affect market stability.

What information must be reported on short exempt short volume?

The information that must be reported includes the date of the transaction, the number of shares involved, the security identification, and the reason for the exemption from the short sale rule.

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