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Short selling
Results: 2054

#	Item
621	William E. Redmond, Jr. and Stefano Signorastri Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-11-21 13:55:32 Corruption United States securities law Financial regulation Short selling Insider trading Securities Exchange Act Securities and Exchange Commission Short Public company Business Finance Investment
622	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]November 20, 2014 INVESTMENT ADVISERS ACT OF 1940 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-11-20 10:32:01 Financial markets United States Securities and Exchange Commission Financial regulation Short selling Wedbush Securities Naked short selling Short Regulation NMS Broker-dealer Financial economics Investment Finance
623	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NYSEARCA[removed]October 28, 2014 Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Cha Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-10-29 08:19:44 United States Securities and Exchange Commission Investment 73rd United States Congress Finance Short selling Uptick rule Short Securities Exchange Act Securities Act United States securities law Stock market Financial economics
624	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES ACT OF 1933 Release No[removed]November 12, 2014 SECURITIES EXCHANGE ACT OF 1934 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-11-12 16:18:52 73rd United States Congress United States Securities and Exchange Commission United States securities law Financial regulation Short selling Short UBS Securities Exchange Act Securities Act Investment Financial economics Finance
625	Nicholas D. DiCicco President D&D Securities, Inc[removed]Market Street Philadelphia, PA 19103 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-09-04 13:01:16 Stock market Business Self-regulatory organizations Philadelphia Stock Exchange Financial regulation Short selling NASDAQ Open outcry Short Financial markets Financial economics Investment
626	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-EDGX[removed]December 5, 2014 Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Cha Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-12-08 09:03:19 Financial economics Financial regulation Short selling Finance Financial system Securities Exchange Act U.S. Securities and Exchange Commission Short United States securities law 73rd United States Congress United States Securities and Exchange Commission
627	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-BYX[removed]December 4, 2014 Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule C Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-12-05 11:21:15 United States securities law Financial system 73rd United States Congress Financial regulation Short selling Securities Exchange Act NASDAQ Securities regulation in the United States Short United States Securities and Exchange Commission Financial economics Finance
628	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]November 20, 2014 INVESTMENT ADVISERS ACT OF 1940 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-11-20 10:32:01 Financial markets United States Securities and Exchange Commission Financial regulation Short selling Wedbush Securities Naked short selling Short Regulation NMS Broker-dealer Financial economics Investment Finance
629	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-BATS[removed]December 4, 2014 Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Ch Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-12-05 11:21:22 United States securities law Financial system 73rd United States Congress Financial regulation Short selling Securities Exchange Act NASDAQ Securities regulation in the United States Short Financial economics United States Securities and Exchange Commission Finance
630	Rules Notice Request for Comment Dealer Member Rules Contact: Bruce Grossman Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-12-18 09:11:03 Economics Credit Financial regulation Short Short selling Debt Credit risk Margin Net capital rule Financial economics Finance Financial markets

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