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June 12, 2019  

Lower Threat Level on Rule 105

The SEC appears to be easing up on enforcement of short-selling restrictions under Rule 105 of Regulation M — welcome news for hedge fund managers and compliance officers.In the latest in a series of compliance reports to its fund-manager clients, law firm Proskauer notes the securities regulator hasn’t brought a Rule 105 enforcement action since 2017. And it anticipates that under Chairman Jay Clayton, the SEC “will likely focus its...


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