SEC Reg SHO Rule 200

Disciplinary decisions issued November 15 – 21, 2025.

Disciplinary decisions issued May 4 – 10, 2024.

SEC repeats its warnings to firms about the importance of record retention.

Disciplinary decisions issued June 23 – June 29, 2023.

Disciplinary decisions issued March 31 – April 6, 2023.

Disciplinary decisions issued March 3 – 9, 2023.