Αποτελέσματα Αναζήτησης
The Securities and Exchange Commission adopted amendments to Rule 105 of Regulation M to further safeguard the integrity of the capital raising process and protect issuers from manipulative activity that can reduce issuers' offering proceeds and dilute security holder value.
A fundamental goal of Rule 105 of Regulation M is protecting the independent pricing mechanisms of the securities markets so that offering prices result from the natural forces of supply and demand unencumbered by artificial forces.
10 Αυγ 2024 · No transaction shall be made at a price that the passive market maker knows or has reason to know is the result of activity that is fraudulent, manipulative, or deceptive under the securities laws, or any rule or regulation thereunder.
Regulation M Filings. The SEC's Regulation M is designed to prevent manipulation by individuals with an interest in the outcome of an offering, and prohibits activities and conduct that could artificially influence the market for an offered security.
Rule 105 restricts short selling activities that may take place in connection with certain types of offerings. Key Terms.
17 Σεπ 2013 · Rule 105 of Regulation M: Short Selling in Connection With a Public Offering. https://www.sec.gov/about/offices/ocie/risk-alert-091713-rule105-regm.pdf. Last Reviewed or Updated: Sept. 17, 2013. Return to top.
Title 17—Commodity and Securities Exchanges. CHAPTER II—SECURITIES AND EXCHANGE COMMISSION. PART 242—REGULATIONS M, SHO, ATS, AC, NMS, SE, AND SBSR, AND CUSTOMER MARGIN REQUIREMENTS FOR SECURITY FUTURES. Regulation M. § 242.105 Short selling in connection with a public offering.
