Subscribe
‘Enforcement 40’ for 2020
Our Sponsors
Join Us On LinkedIn
Join the Securities Litigation and Enforcement Group on LinkedInSEC Hammers CBOE for Lacking ‘Fundamental Understanding’ of Abusive Short Selling – Compliance Week
The SEC charged the CBOE today with failing to adequately enforce Regulation SHO because CBOE staff never received any formal training and lacked a “fundamental understanding” of the rule. via SEC Hammers CBOE for Lacking ‘Fundamental Understanding’ of Abusive Short Selling – Compliance Week