FINRA and BATS brought a short selling, Rule 105 proceeding against Citigroup, perhaps representing a beginning to the SEC leveraging its resources in targeted areas under its new enforcement policy
Tag: omnipresent
The SEC: The Future Path of Enforcement (Part III)
The third part of a series analyzing the path of SEC Enforcement
Tagged with: custody rule, Financial statement fraud, gatekeepers, omnipresent, Rule 105, secactions