WALL STREET FRAUDSTERS

This is a look at Wall Street fraudsters via excerpts from various U.S. government web sites such as the SEC, FDIC, DOJ, FBI and CFTC.

Showing posts with label REGULATION SHO. Show all posts
Showing posts with label REGULATION SHO. Show all posts
Tuesday, August 20, 2013

SEC ISSUED RISK ALERT TO DETECT OPTIONS TRADES THAT CIRCUMVENT SHORT-SALE RULE

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  Washington D.C., Aug. 9, 2013 —  The Securities and Exchange Commission issued a Risk Ale...
Monday, April 16, 2012

SEC CHARGES OPTIONSXPRESS WITH FAILURE TO SATISFY CLOSE-OUT OBLICATIONS

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FROM:  SECURITIES AND EXCHANGE COMMISSION Washington, D.C., April 16, 2012 – The Securities and Exchange Commission today charged an online...
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