Short Sale Rule

The SEC adopts new Rule 13f-2 and new Form SHO, which would require institutional investment managers that meet or exceed certain specified reporting thresholds to ...

The SEC announced Oct. 19 its third enforcement action of the year involving violations of the short selling trading rule

The Canadian-based exempt reporting adviser has since undertaken certain remedial steps, including updating and revising its Rule 105 policies and procedures to prevent future Rule ...

The mismarking violations occurred as a result of a coding error in the logic used to compute Citadel Securities’s position calculated for Regulation SHO purposes ...

A pre-clearance process involving compliance and legal whenever a PM seeks to request an allocation of an upcoming equity offering makes a lot of sense ...

Firm will 'vigorously defend' second SEC suit in a decade, CCO says

Gensler's strategic silence may help repair relations with hedge funds

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