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Tag Archives: Reg. SHO
SEC Issues Risk Alert On Options Trading Used To Evade Short-Sale Requirements
On August 9, 2013, the SEC issued this risk alert designed to detect and prevent options trading that attempts to circumvent Regulation SHO which governs short sales.
SEC Charges the CBOE for Regulatory Failures
In the Matter of Chicago Board Options Exchange, Incorporated and C2 Options Exchange, Incorporated, Admin Proc. File No. 3-15353. On June 11, 2013, the SEC announced it filed settled administrative proceedings against the Chicago Board Options Exchange (“CBOE”) and an … Continue reading
SEC Files Settled Charges Against NASDAQ Related to Facebook IPO
In the Matter of the NASDAQ Stock Market, LLC and NASDAQ Execution Services, LLC, SEC Admin. Proc. No. 3-15339. On May 29, 2013, the SEC announced it filed a settled administrative proceeding against NASDAQ related to poor systems and decision-making … Continue reading
Brothers Jeffrey and Robert Wolfson Agree to Pay $14.5 Million to Settle SEC Charges of Reg. SHO Violations
In the Matter of Jeffrey A. Wolfson et al., Admin. Proc. No. 3-14726. On July 17, 2012, the SEC announced that brothers Jeffrey A. Wolfson and Robert A. Wolfson, both charged earlier this year with short selling violations, agreed to … Continue reading
Securities Enforcement Blog 