2022075734201 Barclays Capital Inc. CRD 19714 AWC lp.pdf
Between December 1, 2020 and May 23, 2022, Barclays effected 25,711 short sale orders
without locating securities available to borrow, in violation of Rule 203(b)(1) of
Regulation SHO of the Securities Exchange Act of 1934 and FINRA Rule 2010.
Between December 2020 and September 2023, Barclays violated FINRA Rules 3110(a)
and 2010 by failing to establish and maintain a supervisory system reasonably designed
to achieve compliance with the locate requirements of Rule 203(b)(1) of Regulation
SHO.
For these violations, Barclays is censured and fined $140,000.