Series 14: 2.8.4.1. Regulation SHO

Taken from our Series 14 Online Guide

2.8.4.1. Regulation SHO

Regulation SHO was enacted in 2005 to address the potential abuses of naked short selling. Naked short selling is where a short seller does not borrow or arrange to borrow the securities in advance of selling them. When sellers do not deliver the sold securities to buyers within the two-day settlement period, it is called a “failure to deliver.” When many sellers choose to naked short sell, the result

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 2.8.4.1. Regulation SHO, you might also be interested in:

Series 3 - 5.2.1. Straddles

Series 6 - 1.3.1.1. Electronic Communications and Social Media

Series 66 - 4.1.1 Individual and Joint Accounts

Series 53 - 6.3.4. Municipal Advisor Records

Series 53 - Competitive Bid Authorization

Series 79 - Evaluating Existing Obligations

Series 6 - Chapter 6 Practice Question Answers

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I would like to say a big thank you to Solomon for helping me pass my Series 14 exam. I took this exam the first time and missed passing by few marks. I was really sad and discouraged so reached out to Jeremy Solomon and he really took the time to talk to me and provide his guidance and advice. He also provided me with additional resources immediately to help with my second attempt. I recently passed this exam. Their study material is easy to understand and the Online Exam Simulator also has a lot of questions chapter-wise which were very helpful. Their customer service has been amazing and very responsive. Thank you Solomon. I will definitely recommend Solomon for anyone planning to take this exam.

Rachna Shah, CBRE. Beverly Hills, CA

Solomon adequately prepared me to pass the 52 on my first try. Also, the one time I used the Ask the Professor tool, I received a response promptly. The pre-built study timelines were fantastic, and the ability to access via computer and the iPhone App was crucial. Many thanks to Solomon. I will use you guys again.

Jonathan Bowman Raymond James Ennice, NC

I wanted to let you know I passed my Series 28 today!! Thanks for great prep materials. I have been working really long hours at my job and it was a challenge finding the time to study. The video lectures proved to be a big help. I’m glad that exam is over!!!

Nikita Brown, BMI. Atlanta, GA

Your content was phenomenal. I could not have done it [pass the Series 82] without you. Thank you!

Jonathan Livi, Uber Capital Group, Great Neck, NY

I used Solomon to study for the Series 82. The material was spot on! More importantly, the practice tests and timed tests were much harder than the actual Series 82, which was very helpful in passing the test. Thanks!!

Rhett Grimes, Anchortree Capital. Nashville, TN

I really liked the Solomon study materials. They did a really nice job of explaining the material in plain language. I have a really long commute and the audio books came in really handy!! I would recommend the Solomon study materials!

Jessie Urban, Securities America Inc, LaVista, NE