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Howzitgoing

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Howzitgoing

Re: lottoplayerslair post# 151

Saturday, 09/10/2011 1:29:29 PM

Saturday, September 10, 2011 1:29:29 PM

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No, that's a separate issue.

does this mean the nss has to cover before oct 3rd?

FINRA 4320 went into effect on Feb 28, 2011, which mandates 13-day buy-ins for open delivery failures and which applies to shares of non-reporting companies.

The Order Audit Trail System (OATS) is supposed to facilitate surveillance for compliance with Reg SHO. Why this hasn't been a priority depends on your level of cynicism. WHO benefits when the SEC/FINRA aren't watching? Anyway this is good news and I hope someone with credibility will surveil the surveillance.
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