Search Results

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...

This article is free to subscribers of Hedge Fund Alert. If you are a subscriber, please sign in.

If you are not a subscriber, please complete the form below to purchase the article for $19.95.
First Name *
Last Name *
E-mail *
Card Number *
Expiration *
Card Code *
Address *
City *
State/Province *
Zip/Postal Code *

Purchase Article