Regulation SHO
Tag Archive

April 19, 2012

optionsXpress Charged By SEC Over Naked Short Selling Scheme

The Securities and Exchange Commission recently charged optionsXpress, and online

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October 26, 2011

UBS Fined $12 million by FINRA for Regulation SHO violations...

The Financial Industry Regulatory Authority (FINRA) recently said in a release that

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May 16, 2011

Robert W. Baird & Co. Incorporated fined by FINRA

Robert W. Baird & Co. Incorporated (CRD #8158, Milwaukee, Wisconsin) recently

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