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Jul 25, 2022 03:58PM Creatd Delivers Regulation SHO Notification to its Information Agent, D.F. King
Jun 23, 2022 10:22AM FINRA Orders National Securities Corp. to Pay $9 Million for Attempting to Artificially Influence the Aftermarket in 10 Offerings, and Other Violations
Feb 25, 2022 11:13AM SEC Proposes Short Sale Disclosure Rule, Order Marking Requirement, and CAT Amendments
Aug 17, 2021 01:22PM SEC Charges Investment Adviser and Associated Individuals with Causing Violations of Regulation SHO
May 18, 2021 05:27PM Squarespace (SQSP) Direct Listing Reference Price is $50/sh
Sep 30, 2020 08:00AM Infinite Group, Inc. (IGI) Retains BUYINS.NET to Surveil Short Sellers and Market Makers
Mar 30, 2020 02:45PM U.S. markets watchdog Clayton says SEC should not ban short-selling of shares
Feb 10, 2020 08:33AM Phunware Engages Regulation SHO Compliance Firm
Aug 9, 2019 07:30AM American Premium Water Corp (OTC: HIPH) Explains Illegal Naked Shorting Being Perpetrated by Major Market Makers on HIPH Shares
Aug 9, 2019 07:30AM American Premium Water Corp (OTC: HIPH) Explains Illegal Naked Shorting Being Perpetrated by Major Market Makers on HIPH Shares
Jan 15, 2019 07:30AM LiquidityBook Completes Banner Year with Continued Surge in Client Wins, Platform Growth
Jan 8, 2019 04:38PM Schulte Roth & Zabel Announces Promotions
Aug 14, 2018 05:30PM Max Sound Corporation Midyear Shareholder Update
Jun 28, 2018 05:45PM Max Sound Asks SEC & FINRA to Accelerate Investigations On Naked Shorting & Failure to Deliver Shares
Jun 14, 2018 07:09PM Max Sound Files Regulatory Complaints To Expose Manipulative Trading Practices and Abusive Naked Short Selling by Major Market Makers
Jun 14, 2018 08:49AM Explains Illegal Naked Shorting Being Perpetrated By Major Market Makers on MAXD Shares
Jun 13, 2018 09:54PM Max Sound Corporation Announces Short Squeeze Situation On Its Stock
May 1, 2018 09:12AM Progressive Care Updates Shareholders on the Status of Naked Shorts
Apr 17, 2018 10:11AM Progressive Care Begins to Take Action to Combat Naked Short Sellers
Mar 19, 2018 10:30AM Yangtze River Port and Logistics Limited Retains BUYINS.NET to Surveil Short Sellers and Market Makers
Dec 7, 2017 07:48AM Sears (SHLD) Shareholder Memento Expresses Concerns About Short-Selling Activity in Shares
Dec 7, 2017 07:45AM Memento Delivers Open Letter to Sears Holdings Board
Nov 22, 2017 05:20AM Regulation should not hinder cross-border bank deals: ECB's Villeroy
Jan 18, 2017 06:00AM Regulation should not squeeze life out of euro zone banks: ECB's Nouy
Sep 14, 2016 08:00AM S3 Unveils Enhanced Regulatory Reporting Suite
Mar 21, 2016 08:00AM FINRA and Nasdaq Fine Wedbush Securities Inc. $675,000 For Supervisory Violations Relating to Chronic Fails to Deliver by a Client in Multiple Exchange-Traded Funds
Jan 14, 2016 02:08PM U.S. SEC Charges Goldman Sachs (GS) with Improper Securities Lending Practices; Will Pay $15M to Settle
Jan 5, 2016 09:20AM FINRA’s 2016 Focus: Supervision, Liquidity and Securities Firms’ Culture
Nov 19, 2015 10:05AM FINRA Fines Deutsche Bank Securities Inc. $1.4 Million for Violating Regulation SHO and Short Interest Reporting Rules
Oct 15, 2015 05:27PM t0.com Completes Another Successful Production Beta Test of Its Software
Sep 30, 2015 08:00AM S3 Launches Upgraded Regulatory Reporting Analysis Software
Aug 12, 2015 09:41AM FINRA Fines StockCross Financial Services, Inc. $800,000 for Regulation SHO Violations
May 13, 2015 10:16AM FINRA Fines Morgan Stanley $2 Million for Short Interest Reporting and Short Sale Rule Violations
Mar 2, 2015 05:03PM Overstock's Market-Rigging Case to Proceed
Oct 22, 2014 09:26AM GT Advanced Technologies (GTATQ) Added to Nasdaq Threshold Securities List
Oct 16, 2014 03:47PM Sanderson Farms, Inc. (SAFM) Short Sale Restriction Triggers
Oct 16, 2014 09:33AM Short Sale Rule Effective on Netflix (NFLX) Amid Plunge
Oct 3, 2014 10:25AM ChinaNet (CNET) Added to Nasdaq Regulation SHO Threshold List
Sep 29, 2014 02:37PM GoPro (GPRO) Lands on Nasdaq Reg SHO Threshold List
May 29, 2013 11:59AM U.S. SEC Charges Nasdaq (NDAQ) for Botched Facebook (FB) IPO
Jun 28, 2012 03:13PM Despite FDA Approval, Arena Pharmaceuticals (ARNA) Triggers Short Sale Rule
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