...Russell D. Sacks; Michael J. Blankenship Purpose The purpose of this paper is to describe the Securities and Exchange Commission's recently proposed new rules to establish a large trading reporting system. Design/methodology/approach The paper provides an overview of the new Rule 13h‐1, which...

...), a broker‐dealer will be permitted to mark certain orders “short exempt” if they qualify pursuant to an exception contained in the rule, including the “broker‐dealer exception,” under which a broker‐dealer can rely on its own determination that the short sale order is being submitted to a trading center...

...TieCheng Yang; Lucas Wang Purpose The aim of this paper is to explain the details of a trial program in China to introduce margin trading and securities lending. Design/methodology/approach The paper describes eligibility requirements for securities companies and their clients; accounts...