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The SRO has fined the investment bank and brokerage for alleged violations of the SEC’s Regulation SHO.
The Financial Industry Regulatory Authority (FINRA) reports that it has fined Cantor Fitzgerald & Co. $2 million for regulation SHO violations and supervisory failures spanning a period of at least five years. The SEC adopted regulation SHO to “address concerns regarding persistent failures to deliver and potentially abusive ‘naked’ short selling, e.g., the sale of...
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