Gabrielle Bernstein

Gabrielle Bernstein

Foley Hoag LLP

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SEC: Zero Tolerance for Short Selling Violations

On September 17, 2013, the Securities and Exchange Commission (the “SEC”) announced enforcement actions against 23 firms for violations of Rule 105 of Regulation M. Rule 105 prohibits the purchase of securities in a follow-on...more

10/21/2013  /  Enforcement Actions , Policy Violations , Regulation M , Securities and Exchange Commission (SEC) , Short Sales , Zero Tolerance Policies
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