Series 24: 5.12. Regulation M, Rule 105

Taken from our Series 24 Online Guide

5.12. Regulation M, Rule 105

Among its rules, Rule 105 tries to curb market manipulation that may artificially lower the value of a follow-on or secondary public offering. The rule prohibits investors from purchasing a security from underwriters and other participants in an offering if they shorted the stock during a restricted period. The restricted period is the shorter of the two following periods:

• The period beginning five business days before the pricing of the security and end

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