is “deemed to own”; Rule 204(b), which eliminates an exception for market makers; Rule 204(e), which permits a broker …

' principles of effective regulation of short‐selling; the Committee of European Securities Regulators' proposals for an EU …

Regulation NMS to include “actionable indications of interest” (“actionable IOIs”), outlines a proposed reduction of the average … of complex market mechanisms and proposed rules by experienced financial institution and securities lawyers.  …

issues that financial services providers operating in or dealing with the Hong Kong market will need to consider. Design …

market transactions and otherwise comply with all other requirements in the TRACE Rules, as amended, and amended FINRA Rule … best market for a security when handling transactions for or with a customer or a customer of another broker‐dealer. The … be better than the prevailing market and replace it with a specific obligation to apply the factors enumerated in Rule …

the order “short exempt,” explains the reason an exception for market making activities is not included in the rule, and …‐dealers and other market centers will need to dedicate significant compliance and systems resources to develop the policies and …

excerpts from FINRA Regulatory Notice 10‐18, Master Accounts and Sub‐Accounts; 10‐22, Regulation D Offerings; 10‐23, Trade … rules – to conduct a reasonable investigation of securities that it recommends, including those sold in a Regulation D … exchange with respect to securities included in the S&P 500® Index where the primary listing market has issued a trading pause …

communications cases in the near future. Given the recent financial crisis and market scandals, and resulting pressure on the …