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Ller of the Currency Washington, DC 20219 (202) 874-3917 Jim.Overdahl occ.treas.gov **Pension Investments Pacific Mutual Life Insurance Company Newport Beach, CA 92660 (714) 640-3320 Economics Working Paper 97-8 May 1997 Another Day, Another Collar: An Evaluation of the Effects of NYSE Rule 80A on Trading Costs and Intermarket Arbitrage Economics Working Paper 97-8 May 1997 ABSTRACT In 1990, the NYSE amended its Rule 80A to restrict stock index arbitrage on days of large price movements. We.
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Microstructure FAQ
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If a company trades for 30 consecutive business days below the $1.00 minimum closing bid price requirement, Nasdaq will send a deficiency notice to the company, advising that it has been afforded a "compliance period" of 180 calendar days to regain compliance with the applicable requirements.
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Initial Minimum Bid Price for Stock: The stock must have a minimum initial bid price of $5.00, and must later remain at or above $1.00. This requirement serves as a safeguard against certain market activities associated with low-priced securities, and protects the credibility of the NASDAQ market.
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Several events can put a company at risk of being delisted. These include, failing to meet a minimum closing bid price of at least $1.00 for 30 consecutive trading days, failing to maintain a specific market cap, or failing to meet myriad requirements related to trading volume, shareholders' equity, or revenue outputs.
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Though delisting does not affect your ownership, shares may not hold any value post-delisting. Thus, if any of the stocks that you own get delisted, it is better to sell your shares. You can either exit the market or sell it to the company when it announces buyback.
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There was one restriction—known as the downtick-uptick test or Rule 80A—that the NYSE used to implement during a market upturn or a market downturn. The downtick-uptick test was a type of index arbitrage test that was intended to reduce the volume of trades.
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The answer lies in Nasdaq rules that give companies generous grace periods for companies trying to get their share price back above $1. Under the rules, a company whose shares fall below $1 for 30 days gets a warning stating that it is noncompliant and has 180 days to get back above the threshold.
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