The SEC has proposed requiring institutional investment managers with discretion over client accounts to report confidentially to the SEC, on a monthly basis, certain short positions. Aggregate data will be made available publicly.
March 07, 2022
The SEC has fined a Toronto-based investment adviser, the adviser’s principal, and its trader for causing brokers to violate Regulation SHO, which governs short selling, and for causing a hedge...
September 01, 2021