Regulation SHO

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 ...

The SEC has fined the Chicago Board Options Exchange $6 million after finding that it failed to enforce or fully understand Reg SHO, had systemic ...

FINRA is scrutinizing options trading, and believes its ability to conduct surveillance in this area will increase substantially when a consolidated audit trail (CAT) is ...

Several unusual aspects fill the short selling case filed last week against the broker-dealer optionsXpress, not the least of which is that the firm's two ...

Make sure you give your customers thorough disclosures regarding complex products, and follow solid procedures to determine for whom those products are suitable. Also review ...