Close

Articles Posted in Regulation Fd

Updated:

Recent Regulation FD Enforcement Action Provides Lessons for Closed-End Funds

Written by:  Kimberly V. Mann The Security and Exchange Commission’s recent enforcement action against Lawrence D. Polizzotto serves as a reminder to all issuers that Regulation FD enforcement is alive and well. The Polizzotto Case Polizzotto, the former vice president of investor relations at First Solar, Inc. (and, ironically, a…