U.S. FINRA Fines for Inaccurate Short Selling Reporting
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About: Anna Monteiro
Recent Posts by Anna Monteiro
Rulefinder Alerts to Temporary Short Selling Bans
On 6 October 2022, Rulefinder identified temporary short selling bans in two countries. Effective: 7 October 2022
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Taiwan – FSC Tightens Short Selling Rules
On 30 September 2022, TAI FSC made amendments re daily short selling orders. TAI FSC issued an order stipulating requirements for the sale of borrowed securities. Follows TAI FSC June 2021 adjusted margin purchase/short selling. Rules Combined balance of security borrowing and lending (SBL) short sale volume and margin short sales shall not exceed 25%…
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India – SEBI Foreign Portfolio Investors
On 29 September 2022, IND SEBI issued a circular on the participation of SEBI registered foreign portfolio investors (FPIs) in exchange traded commodity derivatives in India. Follows IND SEBI September 2022 issued foreign portfolio investor regulations. Circular of 9 October 2018 repealed as eligible foreign entities process discontinued. Foreign investors to participate in exchange traded…
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E.U. – ECB Qualifying Holding Procedures
On 28 September 2022, ECB consulted on guide to qualifying holding procedures. ECB consulted on guide relating to how to assess buyers of qualifying stakes in banks. Background A shareholder owning 10% or more of a given bank, or exercising significant influence over it, said to have qualifying holding; need ECB authorization to acquire qualifying…
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3 October 2022 – U.S. FINRA Fines For Violations of Naked Short Selling
U.S. FINRA Fines for Violating Naked Short Selling Rules
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