NSCC enforcement action via Alpine Securities h
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Posted On: 07/15/2023 2:00:42 PM
NSCC enforcement action via Alpine Securities
https://www.sec.gov/files/litigation/opinions...-96293.pdf
Alpine sought an expedited stay because NSCC informed it that the charge would be effective November 1, 2022. NSCC informed Alpine that deficiencies it observed in September 2022 caused Alpine to fall below the backtesting target, and it attributed the deficiencies to Alpine’s “ net short portfolios with the top driver being a concentrated short position in GTII .”
All it takes is one to show the evidence!
$13
$CRGP
https://www.sec.gov/files/litigation/opinions...-96293.pdf
Alpine sought an expedited stay because NSCC informed it that the charge would be effective November 1, 2022. NSCC informed Alpine that deficiencies it observed in September 2022 caused Alpine to fall below the backtesting target, and it attributed the deficiencies to Alpine’s “ net short portfolios with the top driver being a concentrated short position in GTII .”
All it takes is one to show the evidence!
$13
$CRGP
(1)
(0)Calissio Resources Group, Inc. (CRGP) Stock Research Links
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Quote:
If the broker-dealer fails to deliver for 13 days, the regulation imposes a “close out” duty to purchase and deliver securities “of like kind and quantity.”
https://www.bloomberg.com/opinion/articles/20...ify%20wall
https://www.scotusblog.com/case-files/cases/m...v-manning/
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