Interactive Brokers fined $5.5 million for Regulation SHO violations LeapRate

Interactive Brokers fined $5.5 million for Regulation SHO violations

FINRA has announced that it has fined Interactive Brokers LLC (Interactive) $5.5 million for Regulation SHO violations and supervisory failures spanning a period of at least three years. To limit ongoing naked short positions, firms are required by the SEC’s Reg SHO, after completion of a short sale transaction, to deliver the shares on settlement…

December 14, 2017 BY Valentina Kirilova

Interactive Brokers fined $250,000 for breaching market integrity rules

Interactive Brokers LLC ('Interactive') has paid a penalty of $250,000 to comply with an infringement notice given to it by the Markets Disciplinary Panel ('the MDP'), ASIC informed earlier today. The MDP found it had reasonable grounds to believe that Interactive had breached the ASIC Market Integrity Rules (Chi-X Australia Market) 2011 which: prohibit a…

Tag: Interactive Brokers LLC

Interactive Brokers fined $5.5 million for Regulation SHO violations

Interactive Brokers fined $250,000 for breaching market integrity rules

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