David F. Freeman, Jr.

SEC Announces Additional Steps to Prevent Abusive Short Sales and Increase Market Transparency
David F. Freeman, D. Grant Vingoe, Laura Badian, Barri Lynn Bogner, Lauren R. Bittman, August 7, 2009
On July 27, 2009, the US Securities and Exchange Commission (SEC) announced several initiatives aimed at preventing abusive short selling practices and allowing more short sale trading information to be accessible to the public. As part of these initiatives, the SEC finalized amendments to...

SEC Proposes Modifications to Custody Practices for Registered Investment Advisers
David F. Freeman, Michael F. Griffin, Robert E. Holton, Richard L. Chen, June 17, 2009
On May 20, 2009, the US Securities and Exchange Commission (SEC) issued a proposing release in which it introduced a number of rule proposals to amend various provisions of the Investment Advisers Act of 1940, as amended from time to time (Advisers Act), designed to strengthen the controls over the...

SEC Proposes and Seeks Comments on New Short Selling Regulations
Martha L. Cochran, David F. Freeman, Barri Lynn Bogner, Richard L. Chen, Lauren R. Bittman, May 6, 2009
On April 10, 2009, the US Securities and Exchange Commission (the SEC) proposed five alternative amendments to Regulation SHO under the Securities Exchange Act of 1934 (the Exchange Act) aimed at promoting market stability and restoring investor confidence (the Proposing Release)....