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Short Sale Rule

Helikon did not qualify for an exception to Rule 105 when it purchased shares in the Offering
FINRA's short sale reporting program enhancements proposal yielding a great deal of industry feedback
FINRA is exploring amendments to its short interest program to improve regulatory and public utility
BTIG did not take reasonable steps to verify that the hedge fund would deliver shares of stock sold by settlement and ignored red flags
olicy issues are "part of a larger story about the intersection of finance and technology"
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 ...

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