FINRA and SEC Issue Reports and Priorities for 2024 - The National Law Review

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FINRA and SEC Issue Reports and Priorities for 2024 - The National Law Review. View article details on HISWAI: https://www.natlawreview.com/article/sec-and-finra-broker-dealer-enforcement-recapping-2023-and-previewing-2024

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Regulation SHO Violations. Regulation SHO imposes four general requirements with respect to short sales of equity securities: a marking requirement, a ...

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