WebOct 4, 2024 · WASHINGTON, October 04, 2024--(BUSINESS WIRE)--FINRA announced today that it has fined UBS Securities LLC (UBS) $2.5 million for Regulation SHO (Reg SHO) violations and supervisory failures spanning a period of nine years.. Reg SHO is intended to address concerns regarding persistent failures to deliver and potentially abusive "naked" …
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Morgan Stanley to Pay $5M Over Reg SHO Violations
WebSep 30, 2024 · According to the SEC’s order, the structure of Morgan Stanley’s prime brokerage swaps business resulted in violations of Reg SHO. As set forth in the order, … WebMar 7, 2024 · The Financial Industry Regulatory Authority fined Cantor Fitzgerald $2 million for Regulation SHO violations and supervisory failures spanning a period of at least five … WebSep 30, 2024 · Carl Ayers. -. September 30 2024. These proceedings concern Morgan Stanley & Co. ’s violations of the order marking requirements of Regulation SHO (“Reg SHO”) of the Exchange Act resulting from its improper use of aggregation units in structuring the firm’s prime brokerage swaps business. Reg SHO requires that a person, including a ... georgia winning lottery numbers mega million