Series 79: Syndicate Covering Transactions And Penalty Bids For OTC Securities

Taken from our Series 79 Top-off Online Guide

Syndicate Covering Transactions and Penalty Bids for OTC Securities

We’ve noted that penalty bids and syndicate covering transactions must be disclosed in advance to the regulatory body for the exchange where the transaction will be effected. Over-the-counter securities, however, are not traded on an exchange. In the case of OTC equity securities, FI

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