Series 28: Circuit Breaker (The Alternative Uptick Rule)

Taken from our Series 28 Online Guide

Circuit Breaker (The Alternative Uptick Rule)

Rule 201 of Regulation SHO restricts short sales of stocks whose prices have declined 10% or more from the previous day’s close. For such stocks, a short sale can only be made at a price above the national best bid for the remainder of the trading day and the next trading day.

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I took this Series 28 today and passed on my first try! I think the practice exams helped a ton, though in general, I would say the actual test seemed (at least to me), more difficult than the practice exams. Either way, couldn't have done it without the Solomon Exam Prep.

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