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11 July 2023 – U.S. FINRA – Fines for Failure to Accurately Report Short Selling

July 11, 2023 by Anna Monteiro in links

FINRA Fines for Short Selling Reporting Failure

Tags: short selling

RECENT ENFORCEMENT RELATED TO SHAREHOLDING DISCLOSURES

  • 17 June 2020: Sweden FI Fines for Late Transaction Reporting
  • 17 June 2020: Sweden FI Fines for Late Substantial Shareholding Disclsoure
  • 12 June 2020: Sweden FI Fines for Incorrect Disclsoure
  • 11 June 2020: Sweden FI Fines Mackay Shields for Late Short Selling Reporting
  • 11 June 2020: Hong Kong SFC Breach of Takeovers Code
  • 10 June 2020: Sweden FI Fines for Late Short Selling Reporting
  • 9 June 2020: Germany BaFin Orders Filings for Major Shareholding Disclosures
  • 8 June 2020: Sweden FI Fines Cambridge Global for Late Major Shareholding Disclosures
  • 4 June 2020: Nasdaq Nordic Fines Hitech for Takeover Rules
  • 3 June 2020: Sweden FI Fines for Failure to Disclose
  • 3 June 2020: Belgium FSMA Late Reported Transactions
  • 1 June 2020: Sweden FI Fines SEK2.4m for Late Shares Transparency
  • 1 June 2020: Sweden FI Fines SEK2.4m for Late Transparency Reporting
  • 1 June 2020: Sweden FI for Late Shares Transaction Reporting
  • 1 June 2020: Sweden FI fined Neongelb Invest for Late Substantial Shareholding Disclosure
  • 28 May 2020: Sweden FI for Late Transaction Reporting
  • 13 May 2020: Sweden FI Fines Cheyne Capital for Late Short Selling Reporting
  • 12 May 2020: Sweden FI Fines for Failure to Report Falling Below Short Selling Threshold
  • 11 May 2020: Sweden FI Fines for Late Short Selling Reporting
  • 23 April 2020: Sweden FI Fines Armistice Capital for Late Substantial Shareholding Disclosure
  • 21 April 2020: Sweden FI Fines for Late Short Selling Reporting
  • 21 April 2020: Germany BaFin Fines Blackrock for Late Disclosure
  • 20 April 2020: Sweden FI Fines for Late Short Selling Reporting
  • 20 April 2020: Sweden FI Fines for Late Shares Transactions Reporting
  • 20 April 2020: Sweden FI Fines Investors for Late Substantial Shareholding Disclosure
  • 17 April 2020: Sweden Fines for Late Short Selling Reporting
  • 8 April 2020: BaFin Fines #1 Investment Management Firm for Late Major Shareholding Disclosure
  • 7 April 2020: Sweden FI Fines for Late Shareholding Disclosure
  • 7 April 2020: Sweden FI Fines for Late Shareholding Disclosure
  • 2 April 2020: Sweden FI Fines for Late Reporting of Subscription Rights
  • 2 April 2020: Sweden FI Fines for Late and Incorrect Transactions Notification
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