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48032 Federal Register / Vol. 69, No. 151 / Friday, August 6, 2004 / Notices SECURITIES AND EXCHANGE dollar volume for the securities in the Commission and self-regulatory COMMISSION Russell 3000 index in 2003 was $22.9 organizations (‘‘SROs’’) to monitor million dollars. trading behavior during the Pilot and [Release No. 50104/July 28, 2004] We selected the securities to be surveil for manipulative short selling. Securities Exchange Act of 1934; included in the Pilot by first excluding The remaining stocks in the Russell the 32 securities in the Russell 3000 3000 index will function as the control Order Suspending the Operation of 9 Short Sale Price Provisions for index as of June 25, 2004 that are not group. The securities in the control Designated Securities and Time Nasdaq national market securities group are similar to the stocks in the Periods (‘‘NNM’’), listed on the American Stock Pilot group in terms of the percentage of Exchange (‘‘Amex’’), or listed on the NYSE, Amex, and Nasdaq securities, as The Securities and Exchange New York Stock Exchange (‘‘NYSE’’) well as securities for which there are Commission (‘‘Commission’’), by this because short sales in these securities associated options and single stock Order, is establishing a Pilot (‘‘Pilot’’) are currently not subject to a price test. futures.10 suspending the provisions of Rule 10a– We also excluded issuers whose initial We are establishing the Pilot as part 1(a) under the Securities Exchange Act public offerings commenced after April of the Commission’s review of short sale of 1934 (the ‘‘Act’’) 1 and any short sale 30, 2004.5 We then sorted the remaining regulation.11 The Pilot is in the public price test of any exchange or national securities into three groups—Amex, interest because it will assist us in securities association for: (1) Short Nasdaq NNM and NYSE—and ranked assessing whether changes to short sale sales 2 in the stocks identified in the securities in each group by average regulation are necessary in light of Appendix A to this Order; (2) short sales daily dollar volume over the one year current market practices and the in any security included in the Russell prior to the issuance of this order from purposes underlying short sale 1000 index effected between 4:15 p.m. highest to lowest for the period.6 In each regulation.12 The Pilot will enable us to EST and the open of the consolidated group, we then selected every third obtain empirical data to help assess tape 3 on the following day; and (3) short stock from the remaining stocks.7 whether short sale regulation should be sales in any security not included in The Pilot stocks consist of 50% NYSE removed, in part or in whole, for paragraphs (1) and (2) above effected in listed securities, 2.2% Amex listed actively-traded securities, or if retained, the period between the close of the securities, and 47.8% Nasdaq NNM should be applied to additional consolidated tape and the open of the securities. The Pilot stocks include securities. The Pilot will allow us to consolidated tape the following day. stocks that have associated options study trading behavior in the absence of The Commission is establishing this trading on a registered options exchange a short sale price test on the stocks Pilot for a one-year period commencing or Nasdaq (63.7% of Pilot stocks) and selected by comparing the trading on January 3, 2005. The Commission associated securities futures (2.8% of behavior of the control group stocks to may issue subsequent orders that affect Pilot stocks).8 that of the Pilot stocks through the operation of the Pilot. The The Pilot includes securities with empirical analysis. We will examine, Commission finds that the Pilot is varying levels of liquidity, which will among other things, the impact of price necessary and appropriate in the public enable us to examine whether the tests on market quality (including interest and consistent with the absence of a short sale price test affects volatility and liquidity), whether any protection of investors.4 less liquid and more liquid securities price changes are caused by short differently. We do not believe that there selling, costs imposed by a price test, I. Short Selling In Designated Securities is sufficient volatility in these securities and the use of alternative means to During the term of the Pilot, all short so as to make them inappropriate for establish short positions. selling in the securities identified in inclusion in the Pilot. In addition, these We do not believe that any variations Appendix A to this Order shall be securities have significant market depth, in prices and trading activity between effected without regard to the provisions and are traded on exchanges or other the Pilot stocks and similar securities of Rule 10a–1(a) and any short sale price organized markets with high levels of not subject to the price test will be test of any exchange or national transparency and surveillance, which problematic. The risk of any adverse securities association. As discussed will enhance the ability of the impact on the Pilot securities is below, the Commission has selected a expected to be small, particularly subset of stocks from the Russell 3000 5 Similarly, we excluded spin-offs commencing relative to the benefits of obtaining index for inclusion in the Pilot, after after April 30, 2004. empirical data regarding trading 6 giving due consideration to the Securities selected for inclusion in the Pilot will behavior in the absence of a short sale remain in the Pilot even if during the term of the price test.13 A large number of Pilot liquidity, volatility, market depth and Pilot they cease being included in the Russell 3000 trading market of these securities. index. 9 A pilot that includes a subset of 7 In each group, we started our selection with the Like the group of pilot stocks, the control group will exclude any securities as to which there is securities from the Russell 3000 second stock in order to have a more representative daily dollar volume sample. The most currently no price test (i.e., securities that are not provides a balanced and targeted representative stock in a group of three stocks exchange-listed or Nasdaq NNM). approach to assessing the efficacy of a ranked by volume would be the middle stock. Thus, 10 Specifically, the control group is composed of price test for short sales for a broad to select the most representative sample for the 49.9% NYSE listed securities, 2.2% Amex listed range of securities. The average daily pilot, we would select the second stock of every securities, 47.9% Nasdaq securities, 62.7% with three stocks; in other words, every third stock associated options, and 3.7% with associated single starting with the second. stock futures. 1 17 CFR 240.10a–1. 8 The percentage of the stocks selected for the 11 See Securities Exchange Act Release No. 50103 2 ‘‘Short sale’’ is defined in Rule 200 of Regulation Pilot that are NYSE or Amex listed, or Nasdaq (July 28, 2004) (‘‘Adopting Release’’). SHO, 17 CFR 242.200. NNM, or for which there are associated options or 12 Adopting Release. 3 The term ‘‘consolidated tape’’ refers to the securities futures, are representational of the 13 The general anti-fraud and anti-manipulation effective transaction reporting plan of the Russell 3000 index as a whole. Specifically, the provisions of the federal securities laws will Consolidated Tape Association. Russell 3000 index is composed of 49.9% NYSE continue to apply to trading in these securities, thus 4 In addition, pursuant to Section 3(f) of the Act, listed securities, 2.2% Amex listed securities, prohibiting trading activity designed to improperly the Commission has considered the Pilot’s impact 47.9% Nasdaq NNM securities, 63% with influence the price of a security. See, e.g., Section on efficiency, competition, and capital formation. associated options, and 3.4% with associated single 17(a) of the Securities Act of 1933, 15 U.S.C. 77q(a), 15 U.S.C. 78c(f). stock futures. and Sections 9(a), 10(b), and 15(c) of the Act, 15 VerDate jul<14>2003 20:49 Aug 05, 2004 Jkt 203001 PO 00000 Frm 00001 Fmt 4701 Sfmt 4703 E:\FR\FM\06AUN2.SGM 06AUN2 Federal Register / Vol. 69, No. 151 / Friday, August 6, 2004 / Notices 48033 stocks are actively traded, and as we broad range of securities; it comprises short sale price test enhances a broker- have previously stated, we believe that 1,000 of the largest companies in the dealer’s ability to facilitate customer actively traded securities are less Russell 3000 index (approximately 92% orders in a security at a specific susceptible to manipulation.14 In of the total market capitalization of the reference price, such as the closing price addition, the Commission and the SROs Russell 3000 index).18 Although there is or volume weighted average price, that will monitor trading activity during the limited trading volume in these are often executed in the after-market. Pilot and surveil for manipulative short securities after 4:15 p.m., we believe the For these reasons, we believe that it selling. liquidity is sufficient to allow us to is appropriate that the Pilot include the We believe that a one-year Pilot will examine the impact of removing short suspension of all price tests for all allow the Commission sufficient time to sale price tests. securities included in the Russell 1000 gather and analyze data necessary to Moreover, we believe securities in the index for short sales effected between reach conclusions regarding trading Russell 1000 index are less susceptible 4:15 p.m.
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