Short selling – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Thu, 11 Apr 2024 19:46:24 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Short selling – Investment Executive https://www.investmentexecutive.com 32 32 CIRO sketches three-year strategic vision https://www.investmentexecutive.com/news/from-the-regulators/ciro-sketches-three-year-strategic-vision/ Thu, 11 Apr 2024 19:17:38 +0000 https://www.investmentexecutive.com/?p=483589 Expanding access to advice, standardizing KYC data collection on SRO's agenda

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]]> BMO Nesbitt sanctioned for supervisory shortcomings https://www.investmentexecutive.com/news/from-the-regulators/bmo-nesbitt-sanctioned-for-supervisory-shortcomings/ Fri, 05 Apr 2024 20:57:46 +0000 https://www.investmentexecutive.com/?p=483279 Firm failed to adequately oversee rep's risky trading strategy, CIRO says

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]]> SEC beefs up personal trading rules https://www.investmentexecutive.com/news/from-the-regulators/sec-beefs-up-personal-trading-rules/ Fri, 23 Feb 2024 21:25:12 +0000 https://www.investmentexecutive.com/?p=481005 Financial sector funds now out of bounds for regulator's employees

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]]> CIRO seeks new securities lending rules https://www.investmentexecutive.com/news/from-the-regulators/ciro-seeks-new-securities-lending-rules/ Thu, 15 Feb 2024 20:05:41 +0000 https://www.investmentexecutive.com/?p=480591 Proposals aim to codify investor protections, enhance flexibility

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]]> Social media’s market manipulation risk https://www.investmentexecutive.com/news/from-the-regulators/social-medias-market-manipulation-risk/ Tue, 06 Feb 2024 20:20:50 +0000 https://www.investmentexecutive.com/?p=479964 European regulators flag threats to investors from industry, influencers

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]]> CIRO aims to beef up short-selling requirements https://www.investmentexecutive.com/news/from-the-regulators/ciro-aims-to-beef-up-short-selling-requirements/ Thu, 11 Jan 2024 22:03:38 +0000 https://www.investmentexecutive.com/?p=478495 Self-regulatory organization proposes new settlement obligation and expanded guidance

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]]> How short sellers help stock prices https://www.investmentexecutive.com/news/research-and-markets/how-short-sellers-help-stock-prices/ Mon, 11 Dec 2023 21:49:25 +0000 https://www.investmentexecutive.com/?p=477133 New research finds that brokers leak info on smart shorts into the market

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]]> CSA, CIRO stand pat on short-selling https://www.investmentexecutive.com/news/from-the-regulators/csa-ciro-stand-pat-on-short-selling/ Thu, 16 Nov 2023 18:09:08 +0000 https://www.investmentexecutive.com/?p=475475 Lack of consensus on possible reforms sends regulators back to study the issues

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]]> SEC to shine a light on short selling https://www.investmentexecutive.com/news/from-the-regulators/sec-to-shine-a-light-on-short-selling/ Fri, 13 Oct 2023 18:33:57 +0000 https://www.investmentexecutive.com/?p=473363 Regulator adopts new rules to boost transparency around short activity, securities lending

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]]> FINRA re-ups ex-OSC chair, adopts new rules https://www.investmentexecutive.com/news/from-the-regulators/finra-re-ups-ex-osc-chair-adopts-new-rules/ Thu, 20 Jul 2023 14:18:11 +0000 https://www.investmentexecutive.com/?p=468962 SRO renews Maureen Jensen's board term for three years

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