BTIG, SEC inch closer to settlement
The SEC and BTIG continue their settlement talks in a lawsuit about BTIG’s alleged violations of Regulation SHO.
regulation sho
SEC says BMA Securities failing to pay fine for Regulation SHO violations
The SEC alleges that BMA Securities has failed to comply with an order directing it to pay a fine of $275,000 for Reg SHO violations.
SEC, BTIG continue settlement talks
The settlement in principle between the SEC and BTIG includes an injunction, disgorgement, and a civil money penalty.
SEC wants BTIG to drop claims about disgorgement of ill-gotten gains
The SEC opposes BTIG’s claims that the regulator does not have statutory authority to obtain disgorgement from BTIG.
SEC fines Tradition Securities for Reg SHO violations
Tradition repeatedly failed to satisfy Reg SHO’s requirements for more than 1,000 short sale trades in its customers’ accounts.
BTIG responds to SEC complaint about short selling violations
BTIG argues that the SEC Complaint accusing it of short selling violations fails to state a claim on which relief can be granted.
FINRA fines JPMorgan Securities for failure to comply with Regulation SHO
JP Morgan Clearing Corporation, now known as JP Morgan Securities LLC, has agreed to pay a $300,000 fine as a part of a settlement with FINRA.
FINRA fines Clearpool for short selling rule violations
Clearpool failed to comply with Regulation SHO of the Securities Exchange Act of 1934, and trade reporting rules.
SEC takes BTIG to court for alleged short selling regulation violations
SEC alleges that BTIG earned $1.6 million in commissions from placing mismarked sale orders for a hedge fund.
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