Month: November 2008

Earlier this year, the SEC lifted its ban on short selling without restoring the “uptick” rule which it abolished over a year ago. Last summer the SEC initially imposed a ban on short selling in the securities of certain financial …

The Market Crisis, Short Selling And The Uptick Rule Read More »

On Friday, the D.C. Circuit rejected claims by an investment advisor that an SEC order permanently barring him from future association with any investment advisor should be overturned. The order, entered in an administrative proceeding, was based on findings by …

DC Circuit Affirms Permanent Bar Against Investment Advisor Read More »