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 ...