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Article NO. Content


Regulations Governing Insiders of Securities Firms Opening Accounts at Their Securities Firms for Securities Brokerage Trading  CH

Amended Date: 2015.07.09 
Categories: Market Supervision > Regulation of Securities Firms
Article 4     An insider of a securities firm with knowledge that the underwriting division is selling stock obtained through firm commitment underwriting or with knowledge of the trading division's intent to trade a particular type of stock may not request trades in the same type of stock prior to the sale or the trade by the respective division.