Gray, Elizabeth; Schloendorn, Daniel; Kramer, Howard - In: Journal of Investment Compliance 14 (2013) 4, pp. 31-33
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 of the Securities Exchange Act of 1934....