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February 18, 2006

"Going Dark" the Hard Way: Section 12(j) Enforcement Proceedings

Most investors are familiar with the arduous registration process that companies must endure to “go public.”  Some may also know that, due to increasing regulatory compliance costs, many SEC reporting companies have voluntarily gone private or "dark," or are considering doing so. 

Continue reading ""Going Dark" the Hard Way: Section 12(j) Enforcement Proceedings" »

February 12, 2006

SEC Tightens Short-Selling Rules, but Critics Are Still Dissatisfied

If you’ve been following the news, you know that short-selling abuses are a subject of intense discussion and controversy.  Short selling is the practice of borrowing stock (usually from a broker-dealer or institutional investor), then selling it in anticipation that the price will go down.

Continue reading "SEC Tightens Short-Selling Rules, but Critics Are Still Dissatisfied" »

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The Author


  • Michael MacPhail is an attorney at Holland & Hart LLP, where he specializes in securities industry and auditor defense and compliance. Among other things, Mr. MacPhail’s practice includes defending corporations and individuals in state regulatory, NASD, PCAOB, and SEC investigations and examinations, conducting internal investigations, and providing securities industry compliance counseling.

    For more information about Michael MacPhail, please click here.

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Disclaimer

  • The information contained in this blog is provided for informational purposes only. It is not legal advice and should not be construed as providing legal advice on any subject matter.