Tag: Rule 105

The broken windows approach to enforcement continued this week. The Commission bundled together eight settled administrative proceedings centered on going private transactions in which the Respondents failed to update their Schedule 13D filings. The agency also brought another Rule 105 …

This Week In Securities Litigation (Week ending March 20, 2015) Read More »

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The Commission brought a series of administrative proceedings this week and one civil injunctive action. The civil injunctive action was an insider trading case. The administrative proceedings centered on FCPA violations, the custody rule, churning, Rule 105, internal controls, a …

This Week In Securities Litigation (Week ending October 31, 2014) Read More »

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