United States: Firm Settles FINRA Charges For Duplicative Short-Interest Position Reporting - Cadwalader, Wickersham & Taft LLP

Mondaq

10 May 2021 0 shares 1 views

Mondaq

Published 10 May 2021

A firm settled FINRA charges for reporting short-interest positions that were already reported by its clearing firm.

United States: Firm Settles FINRA And NYSE Arca Charges For Order Marking And Reg. SHO Locate Rule Violations - Cadwalader, Wickersham & Taft LLP

Mondaq 28 May 2021

A firm settled FINRA and NYSE Arca charges for mismarking sell orders and failing to document compliance with SEC Regulation SHO..