Washington D.C.

The US SEC order found that since Regulation SHO’s adoption in 2004 Morgan Stanley has “improperly relied on the exception to firmwide netting of all of its positions in a particular equity security through its use of the long and short units”

US derivatives market gains 12-month reprieve for initial margin requirements for uncleared swaps in response to the COVID-19 pandemic

US SEC files charges against broker-dealer Bloomberg Tradebook for material misrepresentation of services for nearly a decade

Sung Kook Hwang, a manager of two New York-based hedge funds, and his two firms have agreed to pay $44 million to settle US SEC charges over short selling...

A committee on securities, insurance and investment met to conduct a hearing entitled “The Tri-Party Repo Market: Remaining Challenges” in Capitol Hill, Washington D.C...

The Financial Industry Regulatory Authority issued a new Investor Alert - Stock-Based Loan Programs: What Investors Need to Know - to educate investors about non-recourse stock-based loan programs, including the risks and rewards of these loans.

The Securities and Exchange Commission (SEC) has published on its website a request for public comment on the feasibility, benefits, and costs of two short selling disclosure regimes...

The Securities and Exchange Commission today approved rules that will require the exchanges and FINRA to pause trading in certain individual stocks if the price moves 10 percent or more in a five-minute period.