Home Exchange Act Page 3

Exchange Act

Latest

A road sign with short sale words on sky background

Short Sale Rule

Rule 13f–2 — Reporting by institutional investment managers regarding gross short position and activity information

September 24 2024

archive storage, old documents and books stored in the library

Books and Records

Rule 17Ad-7 — Record retention

red ring binder standing out from a row of files

Books and Records

Rule 17a-4 — Records to be preserved by certain exchange members, brokers and dealers

Two business persons in front of futuristic display. Graphical User Interface(GUI). Head up Display(HUD). Internet of things.

Trading

Exchange Act rule 15c6–1 (Settlement cycle)

Financial Planning Accounting Report Spreadsheet Concept

Trading

Exchange Act rule 15c6–2 (Same-day allocation, confirmation, and affirmation)

Section 28E — Soft Dollar Safe Harbor

Soft Dollars

May 20 2009

Exchange Act of 1934 Section 28E, the soft dollars safe harbor

Stock Exchange Concept

Regulation M–Rule 105: Short selling in connection with a public offering

Short Sale Rule

August 10 2007

This is a rule governing short selling around a public offering

1 23Page 3 of 3

Copyright PEI Media

Not for publication, email or dissemination