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German Rules on Naked Short Selling: Current Regulations and Pending Legislation

01 July 2010

Capital Markets Newsletter

This communication describes (i) existing German regulations (comprised of three decrees recently issued by BaFin, Germany's financial regulator) governing "naked short sales", and (ii) pending, but not yet passed, legislation that will have an impact upon the existing German regulations. For each of the three BaFin decrees, this communication summarizes the affected financial instruments, the territorial scope of the decree, and applicable exemptions. The annex to this communication lists internet addresses for certain of the regulations, legislation and other reports referenced herein.



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