Regulation SHO

BMA Securities violated the rule on hundreds of occasions by failing to close out allocated fail to deliver positions

EMS also committed additional violations by failing to make and keep true and accurate order memoranda and copies of all written communications sent by such ...

FINRA has released its first consolidated findings from recent examinations, delivering on a pledge made by the SRO’s President/CEO Robert Cook at the start of ...

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 ...

the Securities Lending Department initially attempted to comply with Rule 204 for long sales of loaned securities by (1) continuing to use its existing systems ...

Hall played a significant role in bringing the violations to the attention of regulators. Penson failed to disclose the non-compliant procedures over the course of ...

A senior FINRA executive cautions broker-dealers to be sure that their supervisory systems are designed to ensure compliance with Regulation SHO. Brad Bennett, FINRA’s executive ...

A federal court in Illinois will begin hearing a case in September involving a reporter's request for SEC records of naked short selling investigations. The ...

Compliance officers at dually-registered firms and broker-dealers would be advised to heed several "red flags" within OCIE's latest risk alert so as to spot possible ...

This Risk Alert encourages awareness of options trading activity that could be used to avoid complying with the close-out requirements under Reg SHO. Such activities ...