Rule 201 is a short sale-related circuit breaker rule that, when triggered by an intra-day decline in the price of a covered security of 10% or more from the prior days closing price for the covered security as determined by the covered securitys listing market, will apply for the remainder of the day and the following day a price test restriction that restricts short sales at or below the current national best bid for the particular covered security. Rule 200(g) will add a new marking requirement of short exempt. In particular, if the broker-dealer chooses to rely on its own determination that it is submitting the short sale order to the trading center at a price that is above the current national best bid at the time of the submission, or to rely on an exception specified in the rule, it must mark the order as short exempt.
The latest form for Rules 201 and 200(g) expires 2023-02-28 and can be found here.
Document Name |
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Supplementary Document |
Supplementary Document |
Supplementary Document |
Supplementary Document |
Supporting Statement A |
Approved without change |
Extension without change of a currently approved collection | 2023-01-30 | |
Approved without change |
Extension without change of a currently approved collection | 2019-12-17 | |
Approved without change |
Extension without change of a currently approved collection | 2017-01-27 | |
Approved without change |
Extension without change of a currently approved collection | 2013-11-25 | |
Approved without change |
New collection (Request for a new OMB Control Number) | 2010-08-05 |
Federal Enterprise Architecture: Economic Development - Financial Sector Oversight