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Home Posts Tagged "Regulation SHO"

Tag: Regulation SHO

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Depository Trust Company (DTC)DTC ChillDTC EligibilityDTC Global LocksNASDAQNYSE MKTRegulation SHOSECThe FAST ActUncategorized

The U.S. Capital Markets Clearance And Settlement Process

Laura Anthony, Esq.
April 19, 2016
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1.5K
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Regulation MRegulation SHORule 144Uncategorized

SEC Filed Actions Against 19 Firms and One Individual Trader for Violation of Rule 105 of Regulation M

Laura Anthony, Esq.
September 23, 2014
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766
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Regulation SHORisk AlertSEC GuidanceSecurities AttorneysUncategorized

SEC Issued Risk Alert on Options Trading Used to Evade Short Sale Requirements

Laura Anthony, Esq.
August 15, 2013
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401
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