Broker-Dealer Settles FINRA Charges For Reg. SHO Miscalculations - Finance and Banking
A broker-dealer settled FINRA charges for misapplying the Multi-Day Approach in calculations of the pre-fail credits and close-out obligations of five affiliated foreign broker-dealers.
Steven Lofchie Firm Settles Division Of Trading Multi Day Approach Broker Dealer Settles Finra Charges For Reg Sho Miscalculations Corporate Commercial Law
Source: mondaq.com