Rule 105

Rule 105

On the New York Stock Exchange, a rule allowing specialists to enter positions on options contracts to hedge their positions on equity.

Rule 105

A New York Stock Exchange rule that prohibits specialists from having an interest in a pool involving a stock in which the specialists are registered.
References in periodicals archive ?
Rule 105 of the Conduct of Business in the National Assembly requires that as soon as the honourable Speaker receives such information, he shall forthwith announce it to the Assembly if in session and if not in session then by circulation.
The speaker should then inform the members of parliament about the development, according to Rule 105.
The speaker should then inform the members of parliament about the development, according to Rule 105. Qamar said that National Assembly members had come to know about Wazir's arrest through the media instead of being informed by the speaker as per procedure.
In addition, the concurrence continued, the holding conflicts with Rule 105, Minn.
An SEC investigation found that Millennium violated an anti-manipulation provision of the federal securities laws known as Rule 105 on four occasions in 2012.
Using his discretionary powers under rule 105, Rules of Procedure and Conduct of Business in the Senate, 2012, the Chairman Senate did not give him permission to move the amendment.
The second report dealt with a request for a review of the structure of Assembly committees, and a review of Rule 105 which addresses the recording of committee meetings.
That previous crackdown resulted in a settlement of over $14 million, and taken together, the actions appear to signal the SEC means business in its avowed efforts to enforce Rule 105 of Regulation M, which prohibits short selling a stock within five days of participating in an offering of that same stock.
The Financial Industry Regulatory Authority (Finra) and Bats Exchange have jointly ordered Citigroup Global Markets (NYSE: C) to pay nearly USD1.1m in connection with short selling in connection with five public offerings of securities, violating Rule 105 of Regulation M, Global Investor has reported.
Crimmins with K&L Gates also told me that he sees the SEC increasing exams "sweeps," much like the one that agency just completed regarding short selling abuses under Rule 105.
In the United States, limiting instructions are identified as the ordinary remedy for limited-admissibility problems under Rule 105 of the Federal Rules of Evidence.
If the Ibrox owner - who hasn't been seen in Glasgow since Rangers plunged into administration in February - refuses to appear, he will have breached the SFA Judiciary Panel's Rule 105 and could be hit with a hefty fine or suspension.