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  4. Calissio Resources Group, Inc. (CRGP) Message Board

NSCC enforcement action via Alpine Securities h

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Post# of 11040
(Total Views: 610)
Posted On: 07/15/2023 2:00:42 PM
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Posted By: 100MPH
Re: 100MPH #10970
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
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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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