Ready for Form SHO Reporting? DFIN Makes It Easy
You know the challenges of SEC filing requirements. Make short work of Form SHO reporting with expert guidance from DFIN.
Accelerate Form SHO Reporting with an End-to-End Solution
Starting January 2, 2028, the SEC is requiring institutional investment managers to report short-selling activities every month via Form SHO. Trust DFIN to streamline filing.
We combine our deep expertise of Form SHO regulations and best practices with cutting-edge technology to ensure your monthly reports are accurate, timely and fully compliant.
Simplify Form SHO Reporting with:
Data Ingestion: User friendly and intuitive Excel templated approach guides clients through data collection.
Data Validation: Accuracy and completeness of filing data ensured.
Form SHO Filing: Accurate and timely submission of Form SHO reports.
Oversight: Visibility on when and what was filed through oversight report distribution.
Regulatory Consulting: Expert advice and guidance on Form SHO and other regulations.
One-Stop Shop: Support for other institutional managers regulatory filings, including 13F-HR or 13F-NT and Form N-PX filings.
Why DFIN for Form SHO?
Focus on your core business knowing your short activity filing and reporting is covered.
Fill out our easy-to-use template, and we will do the rest. From data ingestion and validation to filing directly with the SEC, with DFIN you get:
Expert Guidance
Gain access to our deep understanding of Form SHO regulations and best practices.
Time and Cost Savings
Reduce the burden of in-house compliance efforts and save valuable resources.
Risk Mitigation
Protect your organization from regulatory penalties and reputational damage.
Hands-Off Reporting
Rely on DFIN to handle processes end to end with minimal oversight.
Scalability
Easily adapt our solution to your changing needs and market conditions.