Witryna12 sie 2024 · ADMINISTRATIVE PROCEEDING File No. 3-20961. August 12, 2024 - The Securities and Exchange Commission today announced settled charges against Chicago-based registered broker-dealer IMC Chicago, LLC ("IMC") for violations of … Witryna15 sie 2024 · Dave Lauer on Twitter ... Log in
Deutsche Bank Fined $1.4M For Reg SHO And Short Interest …
WitrynaRule 200(g) of SEC Regulation SHO ("Reg. SHO") for conduct which occurred during the trade dates of September 6 and 7, 2012. The firm was censured, fined $62,500 (of ... A censure, a fine of $1,400,000 (comprised of $375,000 for the Rule 200(f) violations, $650,000 for the short interest reporting viojations, and $375,000 for the ... Witryna25 maj 2024 · Wolverine Execution Services, LLC has agreed to pay a fine of $170,000 as a part of a settlement with the United States Financial Industry Regulatory Authority (FINRA). The settlement concerns alleged violations of short selling rules. Between May 2016 and March 2024, Wolverine violated Regulation SHO (Reg SHO) Rule 200(g), … chip renninger md
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Witryna20 maj 2024 · The United States Securities and Exchange Commission (SEC) has taken broker-dealer BTIG, LLC to Court over alleged violations of Regulation SHO. The complaint, seen by FX News Group, was filed on May 19, 2024, at the New York Southern District Court. Regulation SHO regulates the short selling of securities and … Witryna3 lip 2024 · Findings. While there is still a lot of room for additional SEC guidance on what constitutes bona-fide market making, the SEC has provided some details on the … WitrynaG@ Bð% Áÿ ÿ ü€ H FFmpeg Service01w ... grapeview auto wrecking yard