FINRA Investor Alert on “When Trading Stops”

Samuels Yoelin Kantor LLP

(September 27) FINRA has released one of its periodic Investor Alerts, this one called “When Trading Stops: What You Need to Know About Halts, Suspensions and Other Interruptions.” It explains why, when and how regulatory interruptions in securities trading happen. The document addresses both the broad-market “circuit breaker” halts triggered by a percentage drop in the Dow, and the exchanges’ suspending trading for individual stocks. Interruptions may protect investors from volatility, from bad or incomplete information on a stock, or from market manipulation. New SEC volatility rules go into effect in February 2013.

(FINRA at www.finra.org)

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