United States: Clearing Firm Settles Charges For Short Sale Buy-In Failures - Cadwalader, Wickersham & Taft LLP

Mondaq

24 Aug 2021 0 shares 1 views

Mondaq

Published 24 Aug 2021

A broker-dealer (the "firm") settled FINRA, NYSE and NYSE American charges for violations of short sale close out and "penalty box" provisions.

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