Posted On: 01/29/2016 7:59:26 AM
Post# of 11039
Re: TheMadeInDet #8109
Judge Here's another case proving who the violators are: OCTOBER 27, 2014
Merrill to Pay FINRA $6 Million Over Reg SHO Violations
Censures and fines involve Merrill's ‘business that clears trades for market makers,’ not Merrill's wealth management business
By Melanie Waddell @thinkadv_career
Regulation SHO is a framework to regulate short selling.
Regulation SHO is a framework to regulate short selling.
The Financial Industry Regulatory Authority announced Monday that it has censured and fined two divisions of Merrill Lynch — Merrill Lynch Professional Clearing Corp. and its affiliated broker-dealer, Merrill Lynch, Pierce, Fenner & Smith Inc. — a total of $6 million for Regulation SHO violations and supervisory failures.
Merrill to Pay FINRA $6 Million Over Reg SHO Violations
Censures and fines involve Merrill's ‘business that clears trades for market makers,’ not Merrill's wealth management business
By Melanie Waddell @thinkadv_career
Regulation SHO is a framework to regulate short selling.
Regulation SHO is a framework to regulate short selling.
The Financial Industry Regulatory Authority announced Monday that it has censured and fined two divisions of Merrill Lynch — Merrill Lynch Professional Clearing Corp. and its affiliated broker-dealer, Merrill Lynch, Pierce, Fenner & Smith Inc. — a total of $6 million for Regulation SHO violations and supervisory failures.
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