SEC’s Enforcement Initiative Against Short Sellers Continues
Last week, the SEC charged 19 firms and one individual trader for engaging in short selling – in particular, stocks shortly before they bought shares from an underwriter or broker participating in a follow-on public offering. Each firm and the individual trader agreed to settle the SEC’s charges and pay a combined total of more than $9 million in disgorgement, interest and penalties.
September-October Issue: Deal Lawyers Print Newsletter
This September-October Issue of the Deal Lawyers print newsletter includes:
– Much Ado About … Conflict Minerals in M&A?
– Exclusive Forum Provisions: A New Item for Corporate Governance and M&A Checklists
– Checklist: Special Committees – M&A Context
– Respecting Boilerplate: Definitions & Rules of Construction
If you’re not yet a subscriber, try a “Free for Rest of ’14” no-risk trial to get a non-blurred version of this issue on a complimentary basis.
– Broc Romanek