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 […]
U.S. SEC Fines Citadel Securities for Improper Short Selling
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.
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.
Norway FSA Fines for Short Selling Breach
On 4 September 2023, PHI SEC issued press release re promoting short selling. PHI SEC aims to promote short selling to increase trading activity in the stock market. Document dated 4 September 2023, received from PHI SEC 7 September 2023, summarized on 7 September 2023. Press Release PHI SEC is examining practices from other Asian […]