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Posted On: 02/07/2018 3:05:45 AM
Post# of 72443
SEC Charges optionsXpress and Five Individuals Involved in Abusive Naked Short Selling Scheme
"Daniel M. Hawke, Chief of the Division of Enforcement’s Market Abuse Unit , added, “Reg. SHO compliance continues to be a high enforcement priority. Broker-dealers, their employees, and their customers must ensure that they comply with the close-out requirements of the short sale rules and regulations.”
https://www.sec.gov/news/press-release/2012-2012-66htm
Why added the unit if the SEC didn't plan to do anything about naked shorting?
"Daniel M. Hawke, Chief of the Division of Enforcement’s Market Abuse Unit , added, “Reg. SHO compliance continues to be a high enforcement priority. Broker-dealers, their employees, and their customers must ensure that they comply with the close-out requirements of the short sale rules and regulations.”
https://www.sec.gov/news/press-release/2012-2012-66htm
Why added the unit if the SEC didn't plan to do anything about naked shorting?
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