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Keywords: Short selling
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Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2014) 15 (1): 41–44.
Published: 27 February 2014
... to ensure compliance with Rule 105, and enforce those policies and procedures. Originality/value – Practical explanation and guidance by experienced financial services lawyers. [1] SEC Press Release, “SEC Charges 23 Firms With Short Selling Violations in Crackdown on Potential Manipulation...
Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2013) 14 (4): 31–33.
Published: 25 November 2013
...Elizabeth Gray; Daniel Schloendorn; Howard Kramer Purpose – The purpose of this paper is to explain and interpret the Securities and Exchange Commission's (SEC's) recently announced charges against 23 firms for violation of short selling restrictions set out in Rule 105 under Regulation M...
