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6 Cards in this Set

  • Front
  • Back
The '34 Act
Designed to protect the public in SECONDARY MARKET transactions
*Does not regulate commodities
Painting the tape provision
-Prohibits manipulative practices such as wash sales and matched orders(painting the tape)
Insider provision
-Insiders may not sell short or agianst the box shares of their company
-Must report holding and change in holdings to SEC
-Prohibited from doing short swings
-May not distributte UNreleased press report
AKA affiliated persons or control persons
-An officer, director or principal stockholder that has 10% or more of the o.s shares
Regulation SHO rules
-Firms executing short sales in equity must be sure they can borrow the stock BEFORE entering order
T or F
b/ds must inform customers of any cash held at the fimr at least quarterly