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FINRA fines Wedbush Securities for Regulation SHO violations
WitrynaRegulation SHO is the SEC rule that should be forcing short sellers to return stock they have borrowed, after 13 days of Failing To Deliver them to their rightful owners. SHFs refer to Short Hedge Funds, the likes of Shitadel and Susquehanna, that have been responsible for naked short selling of AMC, GME and other stocks. Witryna3 lip 2024 · Findings. While there is still a lot of room for additional SEC guidance on what constitutes bona-fide market making, the SEC has provided some details on the specific type of trading that would not fall within the Regulation SHO exceptions applying to bona-fide market making activities. However, there is still a large gap between the … christine tanahashi honolulu dead
What is a Regulation SHO bona-fide market maker? - Emerald
Witrynageneral compliance with Reg SHO. Snow was responsible for establishing and maintaining adequate supervisory systems and procedures, including systems and procedures relating to the firm’s Reg SHO compliance and the bona-fide market maker exemption. Snow did not do so. The firm’s WSPs did not provide procedures, … Witryna25 maj 2024 · Wolverine Execution Services, LLC has agreed to pay a fine of $170,000 as a part of a settlement with the United States Financial Industry Regulatory Authority (FINRA). The settlement concerns alleged violations of short selling rules. Between May 2016 and March 2024, Wolverine violated Regulation SHO (Reg SHO) Rule 200(g), … Witryna5 paź 2024 · October 5, 2024 1:20 pm UTC, Rick Steves. FINRA has fined UBS $2.5 million for Reg SHO violations and supervisory failures spanning a period of nine years. The US regulator found that, from 2009 to 2024, UBS did not timely close out at least 5,300 failure to deliver positions and routed or executed more than 73,000 short sales … christine tanyan