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Regulation SHO

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 ...
the Securities Lending Department initially attempted to comply with Rule 204 for long sales of loaned securities by (1) continuing to use its existing systems ...
A senior FINRA executive cautions broker-dealers to be sure that their supervisory systems are designed to ensure compliance with Regulation SHO. Brad Bennett, FINRA’s executive ...
A federal court in Illinois will begin hearing a case in September involving a reporter's request for SEC records of naked short selling investigations. The ...
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