Topic: Regulation M

JD Supra Corporate Brief: Executive Salaries, Government Shutdown, Accounting Fraud, Chinese IPOs

Sign up for email delivery of the JD Supra Corporate Brief, and get a puppy! OK, there’s no puppy – but there is still great law news in your inbox every weekday morning! Are Chinese anti-corruption authorities turning up the heat on investigation and information-gathering firms? (McDermott Will & Emery) Just how much influence do… Read more »

SEC Fines 23 Firms for Illegal Short Selling – Lessons for All Investment Firms

“In announcing the enforcement actions, Andrew J. Ceresney, Co-Director of the SEC’s Division of Enforcement, emphasized that the Staff has ‘zero tolerance for any securities violations, including violations that do not require manipulative intent.’” (BakerHostetler) In mid-September, the Securities and Exchange Commission charged 23 investment firms with violating an SEC rule that prohibits firms from… Read more »