Tag Archives: Reg SHO

Cantor Fitzgerald Fined $2 Million by FINRA for Regulation SHO Violations and Supervisory Failures

The Financial Industry and Regulatory Authority (FINRA)  announced that it has fined Cantor Fitzgerald & Co. (Cantor) $2 million for Regulation SHO (Reg SHO) violations and supervisory failures spanning a period of at least five years. As part of the settlement, Cantor also agreed to retain an independent consultant to conduct a comprehensive review of … Continue reading Cantor Fitzgerald Fined $2 Million by FINRA for Regulation SHO Violations and Supervisory Failures