SEC Restricts Short Sales

Hoping to restore investor confidence, the regulator passes an “alternative uptick rule” after more than a year of debate.

Insider: Flash Ban Likely, but Volcker “Unworkable”

The US Congress and the Securities and Exchange Commission (SEC) could be close to passing legislation and rules that will, among other developments, eliminate flash trading and institute ‘circuit breakers’ for short-sellers, according to financial policy specialist Joseph Engelhard.

SEC Considers Exemptions for Pay-to-Play Rule

The US regulator's decision depends on whether the Financial Industry Regulatory Authority (FINRA) implements strict pay-to-play rules prohibiting activities by registered broker-dealers acting as placement agents.