Short Sale Rule

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 ...

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 ...