Recently by Roger D. Blanc
Securities & Exchange Commission (SEC)
The SEC Sanctions Broker For Failure To Maintain And Enforce Insider Trading Policies
The SEC sanctioned Janney Montgomery Scott LLC ("Janney"), a registered broker-dealer and investment adviser, for violating section 15(g)1of the Securities Exchange Act of 1934 (the "Exchange Act") by failing to have and enforce policies and procedures to prevent the misuse of...
Read MoreSEC Narrows Exceptions To Regulation SHO
On August 7, 2007, the Securities and Exchange Commission (the "SEC" or the "Commission") published final amendments to Regulation SHO under the Securities Exchange Act of 1934 (the "Exchange Act") ( Amendments to Regulation SHO , Exchange Act Release No. 56212 (Aug. 7, 2007), 72 FR 45544 (Aug....
Read MoreSEC Tightens Rule 105 Of Regulation M To Protect Offering Prices
On August 6, 2007, the Securities and Exchange Commission (the "SEC" or the "Commission") published final amendments that significantly modify Rule 105 of Regulation M under the Securities Exchange Act of 1934 (the "Exchange Act").1 The amendments will become effective on October 9, 2007. Before...
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