The Securities and Exchange Commission (SEC) today announced settled charges against broker-dealer Maxim Group for violating federal securities laws.
Without admitting or denying the findings, Citadel Securities consented to a cease-and-desist order imposing a censure and a $7 million penalty.
Goldman Sachs & Co. LLC has agreed to pay a total fine of $3 million, of which $1.14 million is payable to FINRA.
Since at least January 1, 2014 through the present, Citigroup Global Markets violated Rule 200(f) of Regulation SHO.
FINRA announced today that it has fined UBS Securities LLC $2.5 million for Regulation SHO (Reg SHO) violations.
Financial Industry Regulatory Authority (FINRA) fines Wedbush Securities for alleged violations of Regulation SHO.
A Reg SHO indicator will appear in Option Chain, Watchlist, Portfolio in the Cboe Silexx platform.
The Court has issued a final judgment as to BTIG ordering it to pay $694,354 to the SEC to settle Regulation SHO violation charges.
BTIG has agreed to pay disgorgement of $315,048 plus a fine of $315,048 to settle SEC charges about Regulation SHO violations.
The SEC and BTIG continue their settlement talks in a lawsuit about BTIG’s alleged violations of Regulation SHO.