CIRO says rep failed to meet gatekeeper obligations by ignoring suspicious trading
PMAC, IIAC and others weigh in on rules proposed by Ontario’s Capital Markets Modernization Taskforce
CSA and IIROC consider possible reforms amid persistent but unsupported negative perceptions about short-selling
FINRA fined the firm for long-standing compliance issues
SRO provides guidance on short covering expectations
Software updates caused various issues undermining market oversight
Short selling can encourage management to undertake more sustainable strategies, says the Managed Funds Association
ESMA seeks to enhance regulations in preparation for future emergencies
Regulators' effort to prevent a downward spiral in stocks had mixed effects, ESMA finds
A broker failed to mark trades as short based on bad information from the adviser