Category: SECActions

Last week the Commission filed two new actions. One centered on insider trading and was partially resolved. The second focused on violations of Rule 105 by an investment adviser. The proceeding was resolved. Be careful, be safe this week. SEC …

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It is axiomatic that the publication of favorable articles can be quite helpful to the share price of stocks. This may be particularly true if the favorable article is published in a respected investment newsletter or another industry publication. The …

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