Year: 2009

The SEC filed two settled administrative proceedings based on selling short in advance of an offering. While the cases themselves are routine, read in conjunction with others, they may confirm that enforcement has adopted a different approach on this issue. …

SELLING SHORT BEFORE AN OFFERING: AN EVOLVING POSITION Read More »

The SEC and the CFTC released “A Joint Report of the SEC and CFTC on Harmonization of Regulation” on Friday, October 16, 2009. The report was prepared pursuant to the Treasury White Papers released last June, and discussed here, which …

THE SEC/CFTC REPORT ON HARMONIZATION: ENFORCEMENT Read More »