 | United States. Securities and Exchange Commission - 1955 - 144 lapas
...X-17A-2 even though he is not otherwise subject to that rule. SHORT SALES RuleX-10A-l. Short Sales. (a) No person shall, for his own account or for the account of any other person, effect on a national securities exchange a short sale of any security (1) below the price at which the last... | |
 | 1977 - 958 lapas
...3690 and 2832 in tabulation. Part 241 of this chapter. SHORT SALES § 240.10al Short sales. ( a) ( 1 ) No person shall, for his own account or for the account...if trades in such security are reported pursuant to a consolidated transaction reporting system operated In accordance with a plan declared effective under... | |
 | 1979 - 1228 lapas
...Nos. 2690 and 2822 in tabulation. Part 241 of this chapter. SHORT SALES § 240.10al Short sales. (aXI) No person shall, for his own account or for the account...if trades in such security are reported pursuant to a consolidated transaction reporting system operated in accordance with a plan declared effective under... | |
 | 1996 - 888 lapas
...in the public interest or for the protection of investors; and, if an exchange adopts such a rule, no person shall, for his own account or for the account of any other person, effect a short sale of any such security on such exchange otherwise than in accordance with such rule, and compliance with any... | |
 | 2000 - 986 lapas
...in the public interest or for the protection of investors; and, if an exchange adopts such a rule, no person shall, for his own account or for the account of any other person, effect a short sale of any such security on such exchange otherwise than in accordance with such role, and compliance with any... | |
 | 1981 - 668 lapas
...240.10a-2 Requirements for covering purchases. (a) No broker or dealer shall lend, or arrange for the loan of, any security registered on, or admitted to unlisted...trading privileges on, a national securities exchange for delivery to the broker for the purchaser after sale, or shall fail to deliver a security on the... | |
 | 1990 - 1038 lapas
...such order is marked either "long" or "short." (d) No broker or dealer shall mark any order to sell a security registered on, or admitted to unlisted trading privileges on, a national securities exchange "long" unless (1) the security to be delivered after sale is carried in the account for which the sale... | |
 | 1998 - 900 lapas
...distribution, all sale prices prior to the "ex" date may be reduced by the value of such distribution. (b) No person shall, for his own account or for the account of any other similar security, or a convertible security, must have an exercise price or conversion price of flve... | |
 | 1988 - 806 lapas
...distribution, si sale prices prior to the "ex" date be reduced by the value of such distribution. (b) No person shall, for his own account or for the account of any othe person, effect on a national securitie exchange a short sale of any secure not covered by paragraph... | |
 | 1993 - 864 lapas
...such order is marked either "long" or "short." (d) No broker or dealer shall mark any order to sell a security registered on, or admitted to unlisted trading privileges on, a national securities ex240.10al change "long" unless (1) the security to be delivered after sale is carried in the account... | |
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Short sales. (a) No person shall, for his own account or for the account of any other person, effect on a national securities exchange a short sale of any security (1) below the price at which the last sale thereof, regular way, was effected on such exchange,... 
