Tag: Reg M

The SEC is focusing attention on trading illegal short selling, announcing twenty-three actions new actions centered on the prohibited trading practice. At the same time the Commission’s National Exam Program issued a Risk Alert on illegal short selling. Each of …

At The SEC — A Focus on Short Selling Read More »

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Well known hedge fund manager Philip Falcone is at the center of a series of cases filed by the SEC. The actions are based on allegations that the adviser executed a short squeeze market manipulation in the bond market to …

Fund Manager Falcone Is The Center Of A Series Of SEC Actions Read More »

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