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Short Sale Rule

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Traders and a portfolio manager recognized the squeeze they found themselves in and they discussed a possible solution but didn't take it
Stock Exchange Concept
Twice, Contrarian purchased offering shares from an underwriter participating in a follow-on or secondary public offering of stock despite causing at least one advisory client ...
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The SEC adopts new Rule 13f-2 and new Form SHO, which would require institutional investment managers that meet or exceed certain specified reporting thresholds to ...
The SEC announced Oct. 19 its third enforcement action of the year involving violations of the short selling trading rule
Business team investment trading do this deal on a stock exchange. People working in the office.
The Canadian-based exempt reporting adviser has since undertaken certain remedial steps, including updating and revising its Rule 105 policies and procedures to prevent future Rule ...
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The mismarking violations occurred as a result of a coding error in the logic used to compute Citadel Securities’s position calculated for Regulation SHO purposes ...
Business Stock Exchange Trading Concepts
A pre-clearance process involving compliance and legal whenever a PM seeks to request an allocation of an upcoming equity offering makes a lot of sense ...
Firm will 'vigorously defend' second SEC suit in a decade, CCO says
Gensler's strategic silence may help repair relations with hedge funds
Firm settles charges that it unlawfully purchased stock in seven public offerings after selling those same stocks short

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