U.S. Securities & Exchange Commission
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U.S. Securities and Exchange Commission

ARCHIVED AUDIO WEBCAST
Original Live Broadcast:
Friday, September 15, 2006
10:00 am EASTERN TIME

The Securities and Exchange Commission will host a roundtable discussion on the efficacy of rules that limit the execution prices of short sales, such as the Tick Test (Rule 10a-1 under the Securities Exchange Act of 1934) and the Bid Test (former NASD Rule 3350) and the Commission's Pilot program suspending operation of these rules for certain securities. An agenda for the meeting is available on the Commission's website.

The Regulation SHO Pilot suspends the provisions of Rule 10a-1 under the Securities Exchange Act of 1934 (the Exchange Act) and any short sale price test of any exchange or national securities association for a subset of stocks. The pilot is intended to provide empirical data to help assess whether short sale price restrictions should be removed, in part or in whole, for US securities, or if retained, should be applied to additional securities. More information on the Regulation SHO Pilot can be found here.

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Morning Session:

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Afternoon Session:

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Modified: 09/19/2006