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