Series 7 - General Securities Representative Exam
Preview Mode
Regulation SHO is an SEC rule that contains rules that pertains to
Shorting bonds
A
Short term interest rate product sales practices
B
Selling short equity securities
C
Selling a mutual fund in a retirement account and buying a new one on the same day
D
Explanations
Regulation SHO is aimed at preventing unethical naked short selling practices in equity securities