compliance

Form SH Compliance

The SEC now requires the reporting of short positions by certain investment managers. Bowne is ready to help you prepare and file your Form SH today.

Make short work of Form SH filings. When the SEC introduced Form SH to report on short selling in 2008, it marked the beginning of what many in the industry see as an era of increased regulation for the alternative investment community. We offer two Form SH services for our clients.

Need help compiling your Form SH?
The task of compiling your Form SH is tedious and can monopolize hours of your time.
Bowne SH Generator, powered by HedgeOp Compliance™, facilitates the Form SH filing process. This unique tool will:

  1. Qualify - Analyze your short transactions and compare them with the SEC’s official list of 13-F securities, removing any non-13F securities (the SEC only provides this list in PDF format, so completing this task manually can take hours)
  2. Analyze - Calculate the de minimis and remove any transactions that are not required to be reported
  3. Convert - Transform your raw short sale transaction information into a ready-to-file EDGAR submission

Already completed your Form SH calculations?
Bowne's Pure Compliance offers a no-hassle filing solution.

  1. Download and complete the Excel version of the Form SH
  2. Submit the file to the Bowne customer service team
  3. Review and approve the proof
  4. Bowne files the form with the SEC

To determine which solution will best serve your needs, please contact us.

Additional Resources:


Read the SEC's interim final temporary rule requiring certain institutional money managers to file information on Form SH concerning their short sales and positions of section 13(f) securities, other than options(PDF).


To stay on top of regulatory changes sign up for the Bowne SEC & EDGAR Monitor or the Bowne Brief for Investment Management Professionals.