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Short Sale Rule
Compliance issues related to Rule 105 of Regulation M, which governs short selling prior to pricing of certain offerings. Key Takeaways: Investment advisers, investment companies, ...
In this final rule, the SEC extended the compliance deadline from Nov. 10, 2010 until Feb. 28, 2011.
Each week the Federal Reserve releases financial figures. It seems to have escaped the news media's attention that the report for the week of May ...
This is an SEC final rule, released in March 2010, that imposes a short-sale circuit breaker mechanism designed to curtail the problem of abusive short ...
Last week the SEC cited a broker-dealer subsidiary of Goldman Sachs for violating Rule 204T of Reg SHO, which sets deadlines for closing out fails-to-deliver ...
The SEC has placed on its Web site a compliance guide to its new short sale price test under Reg SHO. It provides a clearer ...
Design policies and procedures that will enable your firm to monitor the national best bid on a real-time basis, the SEC says in the final ...
In its latest action to discourage abusive short selling that some blame for a stumbling market, SEC commissioners voted 3-2 last week to give the ...
The SEC took action last week to answer critics who claim the agency doesn't enforce its short selling rules - it moved to settle a ...
A top Democrat in the House is promising to submit legislation that would require the SEC to mandate that brokers daily publish the identities of ...