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14 June 2022: U.S. – SEC Fines for Short Selling Violations

June 17, 2022 by admin in links

U.S. SEC Fines $6.9M for Short Selling Violations

RECENT ENFORCEMENT RELATED TO SHAREHOLDING DISCLOSURES

  • 14 February 2025 – S Korea Fines for Breaches in Short Selling
  • 14 February 2025 – S Korea Fines for Short Selling Breaches
  • 23 January 2025 – India SEBI Fines for Failures in Substantial Shareholding Reporting
  • 13 January 2025 – US Fines for Failure to Comply with Short Selling Rules
  • 19 December 2024 – US Fines For Breach of Short Selling Rule
  • 12 December 2024 – Turkey Fines for Breaches of Short Selling Regulations
  • 10 December 2024 – S Korea Fines for Illegal Short Selling
  • 20 November 2024 – Australia ASIC Fines for Failure to Disclose Major Shareholdings
  • 26 November 2024 – U.S. SEC fines for Illegal Short Selling
  • 18 November 2024 – Poland Fines for Substantial Shareholding Failures
  • 18 November 2024 – India SEBI Fines 7 for Substantial Shareholding Failures
  • 15 November 2024 – Hong Kong Fines for Takeover Breaches
  • 6 November 2024 – Netherlands AFM Fines for Failure to Report Substantial Shareholdings
  • 15 October – S Korea Fines for Illegal Short Selling
  • 9 October 2024 – Italy Consob Fines for Breach of Short Selling Regulations
  • 4 October 2024 – Italy Consob Fines for Short Selling Failure
  • 29 September 2024 – Sweden FI Fines for Late Substantial Shareholding in Bonds
  • 28 September 2024 – Turkey Fines for Failure to Recognize Short Selling Ban
  • 27 September 2024 – Austria FMA Fines for Late Substantial Shareholding Report
  • 27 September 2024 – China Fines for Late Substantial Shareholding Report
  • 27 September 2024 – China Fines for Failure to File Substantial Shareholding Report
  • Austria – FMA Fines for Failures in Substantial Shareholding Reporting
  • China – CSRC Fines for Substantial Shareholding Reporting Failure
  • 25 September 2024 – U.S. SEC Fines 23 for Late Major Shareholding and Insider Transaction Reports
  • 25 September 2024 – Austria FMA Fines for Late Major Shareholding Reporting
  • U.S. – SEC Fines HK Based Trading Firm for Illegal Short Selling
  • U.S. – SEC Fines 23 for Major Shareholding Reporting Failures
  • Austria – FMA Fines for Late Shareholding Disclosure
  • 23 September 2024 – Turkey CMB Fines for Breach of Short Selling Ban
  • 23 September 2024 – U.S. SEC Fines for Breach of Short Selling Rules
  • 20 September 2024 – U.S. SEC Seeks to Fine Musk for Failure to Report Major Shareholding
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