Month: April 2012

Regulation SHO and its close out requirements continues to be a focus of SEC Enforcement. Rules 203, 204 and 204T of Reg. SHO generally require participants of a registered clearing agency to deliver equity securities when delivery is due, typically …

OPTIONS FIRM, ITS CEO AND CUSTOMER NAMED IN SHORT SELLING SCHEME Read More »

Ponzi schemes, once thought difficult to detect and stop, are now a stable of SEC enforcement. Virtually every week one or more schemes that have fleeced investors of their hard earned dollars with claims of extravagant returns is uncovered and …

AN SEC ENFORCEMENT STAPLE: PONZI SCHEMES Read More »

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