Series 28: Circuit Breaker (The Alternative Uptick Rule)

Taken from our Series 28 Online Guide

Circuit Breaker (The Alternative Uptick Rule)

Rule 201 of Regulation SHO restricts short sales of stocks whose prices have declined 10% or more from the previous day’s close. For such stocks, a short sale can only be made at a price above the national best bid for the remainder of the trading day and the next trading day.

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I wanted to let you know I passed my Series 28 today!! Thanks for great prep materials. I have been working really long hours at my job and it was a challenge finding the time to study. The video lectures proved to be a big help. I’m glad that exam is over!!!

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