Series 14: 2.8.4.1.1. Definition And Marking Requirements

Taken from our Series 14 Online Guide

2.8.4.1.1. Definition and Marking Requirements

Rule 200 of Regulation SHO defines a short sale as the sale of a security that the seller does not own or that is consummated by the delivery of a borrowed security. A person is “deemed” to own a security who (1) has title to it, (2) has purchased but not yet received it, or (3) has rights to it and has exercised those rights. A person must be net long in the security to be deemed an owner. A broker-dealer does not have to be net

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