Witryna4 paź 2024 · WASHINGTON—FINRA announced today that it has fined UBS Securities LLC (UBS) $2.5 million for Regulation SHO (Reg SHO) violations and supervisory failures spanning a period of nine years.. Reg SHO is intended to address concerns regarding persistent failures to deliver and potentially abusive “naked” short selling … Witryna15 sie 2024 · Dave Lauer on Twitter ... Log in
FINANCIAL INDUSTRY REGULATORY AUTHORITY I 7 3
Witryna23 sie 2024 · JP Morgan Clearing Corporation, now known as JP Morgan Securities LLC, has agreed to pay a fine of $300,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA). The settlement stems from the firm’s alleged violations of Regulation SHO. The Securities and Exchange Commission (SEC) adopted … 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), … northman chair
Firms Fined, Individuals Sanctioned Reported for March …
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 … Witryna21 sty 2024 · Broker-Dealer Agrees to Pay US $1.25 Million to SEC to Resolve Alleged Reg SHO Violations Katten Muchin Rosenman LLP ... ICBC agreed to pay a fine of US $1.25 million resolve this matter ... Witryna28 wrz 2024 · The Financial Industry Regulatory Authority (FINRA) has fined Wedbush Securities for alleged violations of Regulation SHO. During the periods of January 1, … how to scale down a drawing in solidworks