Securities Lawyer 101 l Brenda Hamilton

Securities Lawyer 101 l Brenda Hamilton

Monday, May 19, 2014

SEC Charges Four Pension Officials for Regulation SHO Violations By:Brenda Hamilton

Securities Lawyer 101 Blog On May 19, 2014, the Securities and Exchange Commission (the “SEC”) announced charges against four former officials at clearing firm Penson Financial Services for their roles in Regulation SHO violations. An SEC investigation found that Penson’s securities lending practices intentionally and systematically violated Rule 204 under Reg. SHO.  The SEC’s Enforcement Division alleges that Penson’s chief... Read More

No comments:

Post a Comment