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Short Sale Rule
Rather than responding to the clearing firm’s concerns with an inquiry into the risks identified by the clearing firm, which may have led to the ...
BMA Securities violated the rule on hundreds of occasions by failing to close out allocated fail to deliver positions
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 ...
ICBCFS securities lending desk personnel obtained, on a regular basis, prereleased ADRs of numerous securities and lent them to other broker-dealers that were looking ...
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 ...
These proceedings concern Bayes Capital’s violations of Regulation SHO (“Reg SHO”) of the Exchange Act, in connection with its principal trading practices. As described more ...
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-based ...
Rule 105 prohibits any person from purchasing in covered offerings where the person has shorted the same securities during the defined restricted period. As described ...
WDCO willfully violated Regulation SHO by taking advantage of the bona-fide market making exception to the “locate or borrow” requirement for short sales in Rule ...
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 ...
Regulation SHO, the Commission’s short sale regulation, was adopted, in part, to address problems associated with persistent “fails to deliver” and potentially abusive “naked” short ...
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 making exception.
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 ...
Rule 105 prohibits selling short an equity security that is the subject of certain public offerings and purchasing the offered security from an underwriter or ...
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 ...
District Court Enters Final Judgment Setting Monetary Amounts Against Charles Raymond Langston III and Related Entities for Rule 105 Violations.
Merrill willfully violated Rule 203(b) of Regulation SHO, according to the SEC.
These proceedings involve Bolan, a research analyst at Wells Fargo Securities, who, in words or in substance, provided notice of at least one forthcoming ratings ...
FINRA has fined Morgan Stanley & Co. $2 million for short interest reporting and short sale rule violations that spanned more than six years. The ...
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, ...
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