Enter to open, tab to navigate, enter to select
SEC Charges Traders and Broker-Dealers for "Naked" Short Sale Rule Violations
Practical Law Legal Update 2-388-0640 (Approx. 2 pages)
SEC Charges Traders and Broker-Dealers for "Naked" Short Sale Rule Violations
by PLC Corporate & Securities and PLC Finance
| Published on 05 Aug 2009 • USA (National/Federal) |
An update on the SEC's first enforcement actions taken for violations of its rules to prevent abusive "naked" short selling.