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With the stocks of financial giants deteriorating, the SEC took its most aggressive action yet against abusive short selling and so-called "rumor mongering" that may accompany short sales. This webinar discusses the developments in these enforcement matters and covers the new SEC rules, how you can protect yourself, and what to expect should you receive a subpoena.

At what point does spreading a rumor become a violation of securities laws and regulations? This presentation reviews the existing rules barring rumor mongering.

• Federal Securities Laws
• NYSE Rule 435(5) & NASD Rule 5120(e)
• Warnings from FINRA, SEC & NYSE Regulation
• SEC Enforcement Actions
• Ensuring Compliance with Rules
• Steps to take if a Subpoena is Received

This presentation examines the predictions regarding this new rulemaking and what market participants should be doing next.

• Recent Amendments
• Rule 10b-21
• The "Locate" Requirement and the "Recycling" of Locates
• Threshold Securities
• Close-out and Pre-borrow Requirements
• Reliance on Customer Representations
• "Naked" Short Selling

What is the impact of these emergency orders? This session reviews how investors, broker-dealers and other market participants have dealt with this rule.

• The Emergency Rule of July 15
• What is the Basis for the Rule?
• What the Rule Required and the Securities Involved
• The Effect on the Markets
• End of Emergency Rule Period