Broker-Dealer Week Webinar: The SEC’s New Uptick Rule
11/3/2010 2:00 pm - 3:30 pm
On Wednesday, November 3, 2010, Steve Ganis will be on the faculty of a Broker-Dealer Week live webinar from 2:00 p.m. – 3:30 p.m., EST. The webinar, entitled “The SEC’s New Uptick Rule: What You Need to Know” will discuss in-depth the details and ramifications of this new rule. The SEC’s new uptick rule will generally prohibit securities sold on national exchanges or OTC when a security’s price drops by at least 10% in a day. But among other provisions, there are various instances where orders can be marked short exempt. Steve will go over the pertinent details of the rule, and what will be required of firms, at what promises to be a lively and informative webinar.
For more information about this event, click here.
