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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
04/01/2021 SSR sanctions Administrative measures and sanctions applicable in Member States to infringements of the Short Selling Regulation (SSR) Reference PDF
371.24 KB
02/10/2017 ESMA71-99-608 Annex (Template for the Assessment of Collective Suitability) , Reference XLSX
72.7 KB
31/10/2016 2016/1529 ANNEX Annex I- Template for the assessment of collective suitability , Reference XLSX
54.43 KB
08/08/2014 2014/869 ES Directrices sobre las obligaciones de información de los artículos 3(3)(d) y 24(1), (2y (4) de la DGFIA Reference PDF
727.22 KB
04/12/2019 ESMA31-59-1417 ESMA amendments to an RTS relating to the PR Reference PDF
283.48 KB
02/12/2021 ESMA42-646012687-331 ESMA Guidelines , Reference XLSX
63.89 KB
10/12/2012 ESMA SSR Review mandate Formal request to ESMA for technical advice on the evalutation of the short selling regulation Reference PDF
34.44 KB
28/01/2021 ESMA32-384-5080 Languages accepted for scrutiny of the Prospectus and translation requirements for Summaries Reference PDF
171.3 KB
19/10/2012 2012/680 Links to national websites for the purpose of the notification of net short positions Reference PDF
84.12 KB
29/03/2021 ESMA50-164-770 Links to national websites where net short positions in shares are disclosed Reference PDF
117.25 KB
24/09/2021 ESMA50-164-772 Links to the national websites explaining the procedures for notifications of net short positions Reference PDF
158.57 KB
23/10/2020 ESMA31-62-1193 List of prospectus thresholds , , Reference PDF
220.58 KB
11/08/2021 Market makers - pdf Market makers and authorised primary dealers who are using the exemption under the SSR- PDF Reference PDF
484.04 KB
24/09/2021 Market makers - XLS Market makers and authorised primary dealers who are using the exemption under the SSR- XLS Reference XLSX
39.23 KB
01/02/2016 2016/200 MiFID registers- information about web service , Reference PDF
311.04 KB

This document sets out the web service for the following registers:

Shares admitted to trading on regulation markets

Exempted shares

Systematic internalisers

Regulated Markets

Multilateral trading facilities

Central counterparties

08/11/2021 Net short thresholds Net short position notification thresholds for sovereign issuers Reference XLSX
27.43 KB

According to Article 7(2) of the Short Selling Regulation, ESMA has to publish a list of the thresholds applicable to the sovereign issuers for the purpose of the notification to competent authorities of significant net short position in sovereign debt.

The way these notification thresholds are defined is further specified in the Commission Delegated Regulation No 918/2012 (the “DR”). The DR specifies that initial threshold categories shall be:
1.0.1% applicable where the total amount of outstanding issued sovereign debt is between 0 and 500 billion euros;
2.0.5% applicable where the total amount of outstanding issued sovereign debt is above 500 billion euros or where there is a liquid futures market for the particular sovereign debt.

The additional incremental levels shall be set at 50% of the initial thresholds. The reporting thresholds shall be monetary amounts fixed by applying the percentage thresholds to the outstanding sovereign debt of the sovereign issuer. They will be revised and updated quarterly to reflect changes in the total amount of outstanding sovereign debt of each sovereign issuer.

In addition, the DR states that the amount of outstanding debt should be calculated using a duration adjusted approach. ESMA has published a Q&A document on how to proceed for the duration adjustment.

The table of thresholds contains the name of the sovereign issuer, the amount of outstanding debt duration adjusted, the initial threshold amount and the relevant percentage, the incremental threshold amount and the relevant percentage.

Please note that the figures of the amount of outstanding debt are duration adjusted (not nominal amounts) and are approximations provided by competent authorities.

02/12/2021 ESMA42-110-812 Notifications of Compliance with Guidelines – Overview Table Reference XLSX
125.46 KB
30/01/2013 2013/159 Q&A on Implementation of the Regulation on short selling and certain aspects of credit default swaps (2nd update) Q&A PDF
873.32 KB
11/04/2019 ESMA31-62-780 Q&A on Prospectus Related Topics , , , , , , Q&A PDF
957.9 KB
27/07/2021 ESMA31-62-1258 Q&As on the Prospectus Regulation Q&A PDF
814.87 KB