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Bracewell in the News
SEC Looks at Long Sale Requirements, Julian Rainero Interviewed
Compliance Reporter
June 25, 2007
In Compliance Reporter's article "SEC Looks at Long Sale," Julian Rainero, partner at Bracewell & Giuliani, said that if the proposed changes to Rule 200 under SHO requiring broker/dealers marking a sale "long" are adopted, then that would require much lengthier communications between portfolio manager and the money manager's own traders. Money managers would have to tell their buy-side traders the accounts they allocate the sales to and must communicate with the custodians of each account to determine the location of the securities.
