Short Selling Archives

SEC Charges Adviser for Violating Short Selling Restrictions

SEC fines adviser for violating short selling rule, notes adviser’s self-reporting.

June 20, 2022

Tags: SEC Enforcement, Short Selling, Trading

New York-Based Adviser Fined for Causing Brokers to Violate Short Sale Rules

Firm fined for mismarking short orders as long, causing brokers to violate Regulation SHO.

May 13, 2022

Tags: Books & Records, Compliance Policies, SEC Enforcement, Short Selling

New SEC Proposal Calls for Short-Sale Reporting

The SEC has proposed requiring institutional investment managers with discretion over client accounts to report confidentially to the SEC, on a monthly basis, certain short positions. Aggregate data will be made available publicly.

March 07, 2022

Tags: Form 13F, Short Selling

SEC Charges Hedge Fund Sub-Adviser for Causing Brokers to Violate Regulation SHO

The SEC has fined a Toronto-based investment adviser, the adviser’s principal, and its trader for causing brokers to violate Regulation SHO, which governs short selling, and for causing a hedge...

September 01, 2021

Tags: Hedge Funds, Short Selling

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