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Regulation SHO (17)
Your search for Regulation SHO returned 17 results.
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1/14/2016 | Content area: Investment Adviser
Goldman’s documentation of its compliance with Reg SHO in its locate log was inaccurate in that Goldman failed to sufficiently differentiate between l...
8/04/2014 | Content area: Investment Adviser
A federal court in Illinois will begin hearing a case in September involving a reporter's request for SEC records of naked short selling investigation...
8/19/2013 | Content area: Investment Adviser | Broker-Dealer
Compliance officers at dually-registered firms and broker-dealers would be advised to heed several "red flags" within OCIE's latest risk alert so as t...
8/09/2013 | Content area: Investment Adviser
This Risk Alert encourages awareness of options trading activity that could be used to avoid complying with the close-out requirements under Reg SHO. ...
6/17/2013 | Content area: Investment Adviser | Broker-Dealer
The SEC has fined the Chicago Board Options Exchange $6 million after finding that it failed to enforce or fully understand Reg SHO, had systemic brea...
9/24/2012 | Content area: Investment Adviser | Broker-Dealer
FINRA is scrutinizing options trading, and believes its ability to conduct surveillance in this area will increase substantially when a consolidated a...
4/23/2012 | Content area: Investment Adviser
Several unusual aspects fill the short selling case filed last week against the broker-dealer optionsXpress, not the least of which is that the firm's...
3/19/2012 | Content area: Investment Adviser | Broker-Dealer
Make sure you give your customers thorough disclosures regarding complex products, and follow solid procedures to determine for whom those products ar...
1/31/2012 | Content area: Investment Adviser
5/10/2010 | Content area: Investment Adviser
Last week the SEC cited a broker-dealer subsidiary of Goldman Sachs for violating Rule 204T of Reg SHO, which sets deadlines for closing out fails-to-...
5/03/2010 | Content area: Investment Adviser
The SEC has placed on its Web site a compliance guide to its new short sale price test under Reg SHO. It provides a clearer picture of when a short sa...
3/08/2010 | Content area: Investment Adviser
Among the hot topics FINRA will be scrutinizing this year during exams of firms include short sales and Reg SHO compliance, the supervision of branch ...
8/03/2009 | Content area: Investment Adviser
The SEC has now made permanent - with a few tweaks - some of the temporary steps it took last year to quell naked shorting and surging fails to delive...
6/08/2009 | Content area: Investment Adviser
A new report from the Government Accountability Office finds the SEC's Reg SHO had at least a temporary effect to reduce the number of securities on t...
4/20/2009 | Content area: Investment Adviser
You'll find scores of questions the SEC has for the industry in its proposed short selling rule. The questions show the agency wishes to be sure - two...
4/13/2009 | Content area: Investment Adviser
The hubbub around short selling has persuaded the SEC to possibly adopt a new rule. The Commission voted unanimously April 8 to propose a rule contain...
4/03/2008 | Content area: Investment Adviser


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