Short Sale Rule

Firm settles charges that it unlawfully purchased stock in seven public offerings after selling those same stocks short

"WAM’s compliance department also received a number of automatically generated daily and weekly exception reports that correctly identified the offerings at issue as ones that ...

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

Maplelane misidentified 358 short sale orders as long sale orders

Proposed changes are a bid to fulfill Dodd-Frank mandate to make certain short sale data publicly available

The Commission estimates that, each month, approximately 1,000 Managers would trigger a Reporting Threshold for at least one security, and therefore be required to file ...

"Proposed Rule 13f-2 would make aggregate data about large short positions available to the public for individual equity securities"

"Today’s proposal would establish a framework for doing this on an aggregate basis for institutional investment managers with gross short positions in certain equity securities ...

For each of the more than 1,050 short sales that Tradition mismarked as long sales in both its customers’ accounts and its principal accounts, Tradition ...

Helikon did not qualify for an exception to Rule 105 when it purchased shares in the Offering