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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