All Regulation SHO articles

Article

Morgan Stanley fined $5M for short sales violations

2020-09-30T16:35:00Z

The SEC has hit Morgan Stanley with a cease-and-desist order imposing a censure and a $5 million penalty resulting from violations of Regulation SHO, the agency’s regulations governing short sales.

Article

FINRA fines Cantor Fitzgerald $2M for Reg SHO violations, supervisory failures

2019-03-07T20:38:00Z

The Financial Industry Regulatory Authority fined Cantor Fitzgerald $2 million for Regulation SHO violations and supervisory failures spanning a period of at least five years.