Cryptocurrency

SEC Obtains a Preliminary Injunction Against Two Former Employees of Capital One Financial Corporation for Insider Trading

SEC Charges a Third Trader in Louisiana-Based Insider Trading Case

The word-search lexicon at Garden State Securities in Red Bank, N.J., includes “disappointed,” “complaint,” and “regulator” – as well as “off the record” and “talk ...

Another former SEC staffer is heading to FINRA (IA Watch, May 7, 2013). The SRO is taking steps to improve how it analyzes and uses ...

Believe it or not it’s been more than 10 years since the annual review requirement came into place. While the annual review can seem like ...

The court filings are flying in the U.S. v. Newman insider trading case (IA Watch, Dec. 11, 2014). On Jan. 23, both the DOJ and ...

Click here to open a Word file from a peer that can serve as an attestation form for staff. Employees would attest to understanding the ...

For the second year in a row, SEC enforcement actions against investment advisers and investment companies have dropped, according to new data from the Commission. ...

The law of insider trading is otherwise defined by judicial opinions construing Rule 10b-5, and Rule 10b5-1 does not modify the scope of insider trading ...

Preliminary Note to §240.10b5-2: This section provides a non-exclusive definition of circumstances in which a person has a duty of trust or confidence for purposes ...