Self-regulatory organization proposes new settlement obligation and expanded guidance
New research finds that brokers leak info on smart shorts into the market
Lack of consensus on possible reforms sends regulators back to study the issues
Regulator adopts new rules to boost transparency around short activity, securities lending
SRO renews Maureen Jensen's board term for three years
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