Sunday, October 15, 2017 10:45:23 PM
If they are naked short sales, the MM faces fines from FINRA. See example of FINRA fining a MM for Reg Sho violations (bottom link).
http://regsho.finra.org/regsho-Index.html
http://www.finra.org/newsroom/2011/finra-fines-ubs-securities-12-million-regulation-sho-violations-and-supervisory
My posts may contain forward-looking statements which may be beyond the comprehension of any backwards-looking individuals. I speculate, this is the OTC after all. In my opinion, all my posts are IMO.
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