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Keywords: Trade
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Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2010) 11 (3): 14–19.
Published: 14 September 2010
... with applicable rules, including Regulation NMS. Jessica Forbes can be contacted at: jessica.forbes@friedfrank.com © Emerald Group Publishing Limited 2010 Securities Trade Regulation United States of America As we advised in our alert of February 25, 2010, “SEC Adopts New Short Sale Rule...
Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2010) 11 (3): 8–13.
Published: 14 September 2010
...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...
Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2007) 8 (3): 64–70.
Published: 18 September 2007
...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...
