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1 result for “
"ETB List"
”
Export
EFTA01374038
Set 10
2015-06-18
1p
760w
accepted new short sale orders in reliance on an easy to borrow
list
("
ETB
List
") after having learned of facts indicating that such reliance was no longer reasonable and therefore ... security could be borrowed and that the locates were inaccurately documented with an
ETB
List
locate reference, and (2) in certain instances, used data that was more than 24 hours ... construct the
ETB
List
, which, at times, resulted in securities being included on the
ETB
List
when they otherwise should not have been. The Firms agreed in the SHO Order
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https://www.justice.gov/epstein/files/DataSet%2010/EFTA01374038.pdf
Corpus: 1990-03-17 – 2025-12-01
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June 2015
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