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Short Sale Rule (40)
Your search for Short Sale Rule returned 40 results.
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6/18/2019 | Content area: Investment Adviser
As a result of this conduct, Wedbush, at times, facilitated short selling and enabled the settlement of trades with ADRs that were not actually backed...
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 ...
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...
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...
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...
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.
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...
6/07/2010 | Content area: Investment Adviser
Each week the Federal Reserve releases financial figures. It seems to have escaped the news media's attention that the report for the week of May 19th...
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...
4/12/2010 | Content area: Investment Adviser
Design policies and procedures that will enable your firm to monitor the national best bid on a real-time basis, the SEC says in the final uptick rule...
3/01/2010 | Content area: Investment Adviser
In its latest action to discourage abusive short selling that some blame for a stumbling market, SEC commissioners voted 3-2 last week to give the ind...
2/01/2010 | Content area: Investment Adviser
The SEC took action last week to answer critics who claim the agency doesn't enforce its short selling rules - it moved to settle a case against an in...
10/26/2009 | Content area: Investment Adviser
A top Democrat in the House is promising to submit legislation that would require the SEC to mandate that brokers daily publish the identities of shor...
10/05/2009 | Content area: Investment Adviser
After the second public meeting in five months to hear from the industry on short selling (IA Watch, April 13, 2009), SEC commissioners face a decisio...


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