Sunday, September 22, 2019 6:50:50 PM
$LAHO thanks, CUSIP also changes with merger and name change combination.
DTC also takes note of the change. Failure to deliver subjects brokers to legal consequences.
..Rule 204 – Close-out Requirement. Rule 204 requires brokers and dealers that are participants of a registered clearing agency to take action to close out failure to deliver positions.
..If a firm that clears and settles trades has a failure to deliver that is not closed out by the beginning of regular trading hours on T+4 or T+6, as applicable, the firm has violated Rule 204 and the firm, and any broker-dealer from which it receives trades for clearance and settlement, is subject to the pre-borrow requirement for that security.
..Selling stock short and failing to deliver shares at the time of settlement with the purpose of driving down the security’s price. This manipulative activity, in general, would violate various securities laws, including Rule 10b-5 under the Exchange Act.
..Rule 204 provides an extended period of time to close out certain failures to deliver. Specifically, if a failure to deliver position results from the sale of a security that a person is deemed to own and that such person intends to deliver as soon as all restrictions on delivery have been removed, the firm has up to 35 calendar days following the trade date to close out the failure to deliver position by purchasing securities of like kind and quantity.
..The SEC takes information alleging violations of the federal securities laws very seriously. If you have specific enforcement-related information, please submit the information at http://www.sec.gov/complaint/tipscomplaint.shtml
https://www.sec.gov/investor/pubs/regsho.htm
Failure through Aug-19
https://www.sec.gov/data/foiadocsfailsdatahtm
Finra SV view by date!
Date|Symbol|ShortVolume|ShortExemptVolume|TotalVolume|Market
20190905|LAHO|80988956|0|127916268|O
http://regsho.finra.org/FORFshvol20190905.txt
http://regsho.finra.org/regsho-Index.html
https://www.otcshortreport.com/company/LAHO
$LAHO GSCG future of medicine
DTC also takes note of the change. Failure to deliver subjects brokers to legal consequences.
..Rule 204 – Close-out Requirement. Rule 204 requires brokers and dealers that are participants of a registered clearing agency to take action to close out failure to deliver positions.
..If a firm that clears and settles trades has a failure to deliver that is not closed out by the beginning of regular trading hours on T+4 or T+6, as applicable, the firm has violated Rule 204 and the firm, and any broker-dealer from which it receives trades for clearance and settlement, is subject to the pre-borrow requirement for that security.
..Selling stock short and failing to deliver shares at the time of settlement with the purpose of driving down the security’s price. This manipulative activity, in general, would violate various securities laws, including Rule 10b-5 under the Exchange Act.
..Rule 204 provides an extended period of time to close out certain failures to deliver. Specifically, if a failure to deliver position results from the sale of a security that a person is deemed to own and that such person intends to deliver as soon as all restrictions on delivery have been removed, the firm has up to 35 calendar days following the trade date to close out the failure to deliver position by purchasing securities of like kind and quantity.
..The SEC takes information alleging violations of the federal securities laws very seriously. If you have specific enforcement-related information, please submit the information at http://www.sec.gov/complaint/tipscomplaint.shtml
https://www.sec.gov/investor/pubs/regsho.htm
Failure through Aug-19
https://www.sec.gov/data/foiadocsfailsdatahtm
Finra SV view by date!
Date|Symbol|ShortVolume|ShortExemptVolume|TotalVolume|Market
20190905|LAHO|80988956|0|127916268|O
http://regsho.finra.org/FORFshvol20190905.txt
http://regsho.finra.org/regsho-Index.html
https://www.otcshortreport.com/company/LAHO
$LAHO GSCG future of medicine
Join the InvestorsHub Community
Register for free to join our community of investors and share your ideas. You will also get access to streaming quotes, interactive charts, trades, portfolio, live options flow and more tools.
