Securities Lawyer 101 Blog On May 19, 2014, the Securities and Exchange Commission (the “SEC”) announced charges against four former officials at clearing firm Penson Financial Services for their roles in Regulation SHO violations. An SEC investigation found that Penson’s securities lending practices intentionally and systematically violated Rule 204 under Reg. SHO. The SEC’s Enforcement Division alleges that Penson’s chief... Read More
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