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TheSittingtight1

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TheSittingtight1

Re: janice shell post# 32683

Wednesday, 09/09/2015 1:57:06 PM

Wednesday, September 09, 2015 1:57:06 PM

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JS, you would think that the company would/should know but out of the 10 or so people from brokers to traders that I personally spoke with had never seen the 11140 rule ever.The only one I spoke with that had any idea what I was talking about was Jessica from FINRA. Not to make any excuse for the company but it was a well hidden rule which apparently stumped even the DTCC on the distribution of the dividend.That is pretty bad when even the SRO Regulators can't even get it right. What a mess they caused to cover their little short MM friends.

ST
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