Year: 2010

THIS WEEK IN SECURITIES LITIGATION (May 14, 2010)

Investigations of Wall Street banks and the market disruption of last week continued to be the focus as legislators discussed possible financial market reform. Both the USAO in New York and the NYAG are conducting investigations involving Wall Street banks,

SHORT SELLING: A NEW ENFORCEMENT PRIORITY

SEC enforcement has been bringing an increasing number of cases involving short selling. In recent months, the Commission has focused on cases involving alleged violations of Rule 105 which is concerned with short selling in connection with a follow on

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