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Short Sale Rule
District Court Enters Final Judgment Setting Monetary Amounts Against Charles Raymond Langston III and Related Entities for Rule 105 Violations.
The Securities and Exchange Commission announced that a trader residing in Canada has agreed to pay more than $1 million to settle charges that he ...
Merrill willfully violated Rule 203(b) of Regulation SHO, according to the SEC.
These proceedings involve Bolan, a research analyst at Wells Fargo Securities, who, in words or in substance, provided notice of at least one forthcoming ratings ...
FINRA has fined Morgan Stanley & Co. $2 million for short interest reporting and short sale rule violations that spanned more than six years. The ...
It’s déjà vu all over again. Nearly a year to the day that the SEC settled 22 cases tied to violations of short selling rules, ...
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 ...
This study by the SEC's Division of Economic and Risk Analysis studied the feasibility, benefits, and costs of a real-time short position reporting regime (Real-Time ...
It wasn't subtle the way the SEC earlier this month released news of 22 settlements and a risk alert around short selling and violating Reg ...
The one-two punch from the SEC last week came in the form of a new risk alert from OCIE on complying with Rule 105 and ...