TSE Regulation Services is asking for more information from brokers as part of the investigation of trading in the days leading up to the terrorist attacks of September 11.
TSE RS says it continues to investigate trading activity on the TSE leading up to September 11. In order to complete this investigation, all brokerage firms are required to identify all accounts with short positions as of the close of the market September 10.
This list should include all unsettled trades and should provide: the name of the security and volume, the name and address of account holder, the names of any guarantors and or persons with trading authority over the accounts, and the account opening date. Information for each of the required points must be delivered to market surveillance by October 15.
TSE RS investigating suspicious trading
Brokerages asked to identify accounts with short positions on Sept. 10
- By: IE Staff
- October 5, 2001 October 5, 2001
- 12:05