Tag: short selling

Broken Windows – the SEC initiative cloned from the NYC Police Department which prosecutes every case large and small based on the a deterrence theory – is alive and well in the form of the Rule 105 Initiative. This week …

Broken Windows: SEC Files Six Settled Rule 105 Actions Read More »

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The question of forum selection by the SEC was a key issue this week. While to date suits challenging the SEC’s right to bring an action as an administrative proceeding rather than in federal court have had little success – …

This Week In Securities Litigation (Week ending June 12, 2015) Read More »

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