Year: 2008

Prior installments of this occasional series on the SEC’s new Enforcement Manual have discussed the Wells Process and Cooperation. The segment considers parallel proceedings. Section 5.2.1 of the Manual discusses parallel proceedings. The term, as used here, typically refers to …

The New Enforcement Manual: Parallel Proceedings Read More »

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 »