Alexander Gonzalez

Alexander Gonzalez

Pepper Hamilton LLP

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Don’t Short Before The Deal, SEC Reminds Hedge Funds And Buyside Firms

On September 17, 2013, the Securities and Exchange Commission (SEC) announced enforcement actions against 23 investment firms for violations of Rule 105 of SEC Regulation M. Rule 105 generally prohibits short selling...more

9/20/2013 - Enforcement Actions Hedge Funds Public Offerings Regulation M SEC Short Sales

Access To The U.S. Capital Markets By Foreign Issuers: A Guide To Rule 144A And Regulation S Offerings

Public and private entities can access the U.S. capital markets without registering the offering with the U.S. Securities and Exchange Commission (SEC) by issuing securities under Rule 144A and/or Regulation S of the U.S....more

6/11/2013 - Capital Markets Debt Securities Equity Securities Offerings Qualified Institutional Buyers Rule 144A Sarbanes-Oxley

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