Content Areas

Search Terms

Category

 See More >

Date Range

From:
To:

Topics

Clear
Short Sale Rule (53)
Your search for Short Sale Rule returned 53 results.
Sorted by Date

7/23/2018 | Content area: Investment Adviser
Based on the long positions reflected in certain accounts at its prime brokers (albeit not an overall net long position in such securities across all ...
6/28/2018 | Content area: Broker-Dealer
These proceedings concern Bayes Capital’s violations of Regulation SHO (“Reg SHO”) of the Exchange Act, in connection with its principal trading pract...
11/09/2017 | Content area: Private Fund
Historically the SEC has announced charges against firms not satisfying rule 105 of Regulation M in big bunches.  This time it’s only the New York-bas...
10/31/2017 | Content area: Investment Adviser
Rule 105 prohibits any person from purchasing in covered offerings where the person has shorted the same securities during the defined restricted peri...
4/26/2017 | Content area: Broker-Dealer
WDCO willfully violated Regulation SHO by taking advantage of the bona-fide market making exception to the “locate or borrow” requirement for short sa...
1/26/2017 | Content area: Investment Adviser
These proceedings arise out of a violation of Rule 105 of Regulation M of the Exchange Act by Palestra Capital Management LLC (“Palestra”), a New York...
12/16/2016 | Content area: Broker-Dealer
Regulation SHO, the Commission’s short sale regulation, was adopted, in part, to address problems associated with persistent “fails to deliver” and po...
12/16/2016 | Content area: Broker-Dealer
WDCO’s practice for its proprietary traders was to assume that all short sales by its proprietary trading group qualified for the bona-fide market mak...
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...
10/14/2015 | Content area: Broker-Dealer
Rule 105 prohibits selling short an equity security that is the subject of certain public offerings and purchasing the offered security from an underw...
6/11/2015 | Content area: Investment Adviser
The Securities and Exchange Commission announced that a trader residing in Canada has agreed to pay more than $1 million to settle charges that he sho...
6/11/2015 | Content area: Investment Adviser
District Court Enters Final Judgment Setting Monetary Amounts Against Charles Raymond Langston III and Related Entities for Rule 105 Violations.
6/01/2015 | Content area: Broker-Dealer
Merrill willfully violated Rule 203(b) of Regulation SHO, according to the SEC.
5/28/2015 | Content area: Broker-Dealer
These proceedings involve Bolan, a research analyst at Wells Fargo Securities, who, in words or in substance, provided notice of at least one forthcom...
5/14/2015 | Content area: Broker-Dealer
FINRA has fined Morgan Stanley & Co. $2 million for short interest reporting and short sale rule violations that spanned more than six years. The firm...
9/18/2014 | Content area: Investment Adviser
It’s déjà vu all over again. Nearly a year to the day that the SEC settled 22 cases tied to violations of short selling rules, the agency announced ne...
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...
9/30/2013 | Content area: Investment Adviser
It wasn't subtle the way the SEC earlier this month released news of 22 settlements and a risk alert around short selling and violating Reg M's rule 1...
9/23/2013 | Content area: Investment Adviser
The one-two punch from the SEC last week came in the form of a new risk alert from OCIE on complying with Rule 105 and the Enforcement Division announ...
9/17/2013 | Content area: Investment Adviser | Broker-Dealer
Compliance issues related to Rule 105 of Regulation M, which governs short selling prior to pricing of certain offerings. Key Takeaways: Investment ad...


Did you find what you were looking for?



Leave your comments below regarding what you are looking for and someone from our team will reach out to help you.


© 2019 Simplify Compliance. ALL RIGHTS RESERVED | PRIVACY POLICY | TERMS & CONDITIONS | ABOUT US | CONTACT US