On 25 Septmeber 2023, NORFSA issued Cazadores short selling penalty fee decision. NORFSA issued 11 September 2023 decision on Cazadores Investments Limited regarding advance notice of NOK 2,000,000 Flyr shares short selling violation fee and other correspondence. Follows NORFSA May 2023, fined 6 investors for short selling breaches. Overview On 16 November 2022, stock exchange…
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U.S. – SEC Fines for Short Selling Violation RegSHO
On 22 September 2023, SEC settled charges against B/D for Reg SHO (short selling) violations. SEC settled charges against Citadel Securities for millions of violations of Reg SHO. Reg SHO is regulatory framework designed to prevent abusive short selling practices. Allegations For five years, Citadel incorrectly marked millions of orders, inaccurately denoting certain short sales…
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22 September 2023 – U.S. SEC Fines for Improper Short Selling
U.S. SEC Fines Citadel Securities for Improper Short Selling
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S Korea – Rulefinder Alerts to New Temporary Short Selling Bans
On 21 September 2023, aosphere's Rulefinder solution alerted to new temporary short selling bans in S Korea issuers. Effective: Short selling bans are in effect for said issuers for one trading day on 22 September.
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S Korea – Rulefinder Alerts to New Short Selling Bans
On 14 September 2023, aosphere's Rulefinder solution alerted to new temporary short selling bans in S Korea issuers. Effective: Short selling bans are in effect for said issuers for one trading day on 15 September.
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11 September 2023 – Norway FSA Fines for Short Selling
Norway FSA Fines for Short Selling Breach
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