Roger D. Blanc

Firm(s):

Willkie Farr & Gallagher LLP

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Articles:

The SEC Sanctions Broker For Failure To Maintain And Enforce Insider Trading Policies

Tuesday, October 4, 2011
SEC Narrows Exceptions To Regulation SHO

Thursday, November 1, 2007

On August 7, 2007, the Securities and Exchange Commission (the "SEC" or the "Commission") published final amendments to Regulation SHO under the Securities Exchange Act of 1934 (the "Exchange Act") ( Amendments to Regulation SHO , Exchange Act Release No. 56212 (Aug. 7, 2007), 72 FR 45544 (Aug. 14, 2007)). Regulation SHO substantially increased the...
SEC Tightens Rule 105 Of Regulation M To Protect Offering Prices

Monday, October 1, 2007

On August 6, 2007, the Securities and Exchange Commission (the "SEC" or the "Commission") published final amendments that significantly modify Rule 105 of Regulation M under the Securities Exchange Act of 1934 (the "Exchange Act").1 The amendments will become effective on October 9, 2007.