Framework would allow regulators to impose size requirement on dark orders
Regulators lured unsuspecting investors using online ads and social media promotions
Although securities regulators’ enforce-ment numbers were down in 2011, they are stepping up in other key areas
Regulators mulling options for enhancing the disclosure of short sales, and introducing some public disclosure of failed trades
A recommendation of prospectus receipt refusal may result when an issuer lacks sufficient funds to continue operations
Illegal distributions account for much the charges and investigations
65 complaints investigated
Fines and administrative penalties of more than $52 million; Illegal distributions remain the biggest source of enforcement activity
Proposed changes, including changes to risk disclosure, will be published for comment in the spring or summer
Amendments will ease access to market for ETFs, allow mutual funds to short sell up to 20% of NAV