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.

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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

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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

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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

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