Bloomberg News

UBS Fined $12 Million by Finra Over Regulation SHO Violations

October 25, 2011

Oct. 25 (Bloomberg) -- UBS Securities LLC will pay $12 million to resolve claims that the firm violated Regulation SHO and failed to properly supervise short sales of securities, the Financial Industry Regulatory Authority said in a statement today.

To contact the reporter on this story: Gregory Mott in Washington at

To contact the editor responsible for this story: Lawrence Roberts at

We Almost Lost the Nasdaq

(enter your email)
(enter up to 5 email addresses, separated by commas)

Max 250 characters

blog comments powered by Disqus