Regulation SHO

FINRA's five new focus areas are financial crimes, manipulative trading, fixed income/fair pricing, fractional shares, and Reg SHO

Maplelane Capital violated books and records, Reg SHO rules, SEC claims

Maplelane misidentified 358 short sale orders as long sale orders

The B-D violated the provision prohibiting lending shares to settle sale orders marked "long"

BNPP was aware of red flags that indicated that the Hedge Fund might not be able to deliver sufficient shares

BMA Securities violated the rule on hundreds of occasions by failing to close out allocated fail to deliver positions

EMS also committed additional violations by failing to make and keep true and accurate order memoranda and copies of all written communications sent by such ...

FINRA has released its first consolidated findings from recent examinations, delivering on a pledge made by the SRO’s President/CEO Robert Cook at the start of ...

Goldman’s documentation of its compliance with Reg SHO in its locate log was inaccurate in that Goldman failed to sufficiently differentiate between locates that were filled ...

Hall played a significant role in bringing the violations to the attention of regulators. Penson failed to disclose the non-compliant procedures over the course of ...