Sentence examples for violations of regulation from inspiring English sources
It issued cease-and-desist orders barring future violations of Regulation FD, for fair disclosure.
The Bell case is at least the fourth one filed by the S.E.C. that claims violations of Regulation SHO by options market makers, but only the second one I could find that named actual stocks that were illegally shorted, the other being a 2009 case against traders who operated firms with the delightful names of Rhino Trading and Fat Squirrel Trading.
Earlier this week, the regulatory arm of NYSE Group, fined Daiwa Securities America, Goldman Sachs Execution & Clearing, Credit Suisse Securities, and Citigroup Global Markets $1.25 million for violations of Regulation SHO--a rule put in place in January 2005 to clamp down on abuses--related to how they handle and monitor short-sale transactions by hedge funds and other clients.
This is the first time that the SEC has assessed financial penalties against individuals charged solely with violations of Regulation S-P, an SEC rule that requires financial firms to protect confidential customer information from unauthorized release to unaffiliated third parties.
Earlier this week, the regulatory arm of NYSE Group, fined Daiwa Securities America, Goldman Sachs Execution & Clearing, Credit Suisse Securities, and Citigroup Global Markets $1.25 million for violations of Regulation SHO a rule put in place in January 2005 to clamp down on abuses related to how they handle and monitor short-sale transactions by hedge funds and other clients.
Its assessors found "interns worked both overtime and night shifts, violations of regulations governing internships".
The California Occupational Safety and Health Administration fined the company $25,870 for five violations of regulations for workplace safety.
He admitted striking PWs for violations of regulations but not severely.
It is investigating HSBC for possible violations of regulations against money laundering.
The report said that annual violations of regulations governing mental health care, fire safety, occupational safety and hazardous materials increased significantly.
The state has nearly doubled the number of inspectors on staff, initiated surprise inspections to observe rides and operators in action, conducted engineering reviews of new rides and significantly increased penalties for violations of regulations.
