Series 7: 17.6.3.3 Prohibited Transactions During Trading Halts

Taken from our Series 7 Top-off Online Guide

17.6.3.3  Prohibited Transactions During Trading Halts

A broker-dealer or affiliated person may not trade or publish a quotation in any security for which a trading halt is in effect. However, when FINRA closes trading on an ADF or TRF, trading on that security will not be prohibited on other markets where trading has not been halted.

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