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Articles Posted in Regulation SHO

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StockCross Financial Services to Pay $800K for Regulation SHO Violations

FINRA says that StockCross Financial Services, Inc. will pay an $800,000 fine for violating Regulation SHO, as well as supervisory violations that went on for over three years. By settling, the firm is not denying or admitting to the charges. It has, however, consented to the entry of the self-regulatory…

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