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Regulation M
Practical Law Glossary Item 5-382-3747 (Approx. 2 pages)
Glossary
Regulation M
A collection of SEC rules implemented under the Exchange Act aimed at strengthening the integrity and fairness of the securities markets by regulating potentially manipulative practices by underwriters, issuers, selling securityholders and other participants in securities offerings.
Regulation M prohibits certain trading activities by those parties that could:
- Artificially raise the price of a security.
- Create a false appearance of active trading in the market by investors.
For more information on Regulation M, see Practice Note, Regulation M: What the Deal Team Needs to Know.