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The uptick rule does not apply to SPY, QQQ, or DIA. I would imagine that
since the ETF's also trade on the AMEX and since they are derivative index
vehicles that the uptick rule does not apply to them either.
Kent
-----Original Message-----
From: james vaughn <drjamesvaughn@xxxxxxxxxxx>
To: omega-list@xxxxxxxxxx <omega-list@xxxxxxxxxx>
Date: Wednesday, March 28, 2001 11:07 AM
Subject: NO UPTICK REQUIRED
is an uptick required to execute a short on SPY, sp500 depository receipts,
on the amex? if not required, then is the exclusion of the uptick rule for
shorts cover all traded depository receipts,( ETF, exchange traded funds)?
Dr. Vaughn
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