Short Sale Rule

For each of the more than 1,050 short sales that Tradition mismarked as long sales in both its customers’ accounts and its principal accounts, Tradition ...

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 ...