May 02, 2022
Broker-dealer BTIG has agreed to pay more than $694,000 in penalties, disgorgement and interest to settle a U.S. Securities and Exchange Commission lawsuit alleging it violated federal regulations aimed at preventing the improper practice known as "naked short-selling," or selling shares that have not been affirmatively borrowed or located.
May 20, 2021
The U.S. Securities and Exchange Commission has sued a registered broker-dealer for allegedly violating federal regulations aimed at preventing the improper practice known as "naked short-selling," or selling shares that have not been affirmatively borrowed or located.