Insider Trading

"We have long recognized that insider trading and the fraudulent use of material nonpublic information by corporate insiders not only harm individual investors but also ...

The adviser takes additional precautions. After the 10-day period passes, its analysts can see only a 'high-level summary' of the networking firm’s interview with a ...

For SEC commissioners, Dec. 15th produced their greatest productivity of the year, as a mostly divided Commission approved several new proposals, including revisions to money ...

'This case does not plow new legal ground,' Commission lawyers tell federal judge

"Today’s proposals would add new conditions to the existing affirmative defense under Rule 10b5-1(c)(1), to help address concerns about potentially abusive practices associated with the ...

"The proposal seeks to curb potential abuses of our rules and enhance transparency for investors, while not unduly restricting issuer and individual trading in a ...

"The goal of the rule is to help ensure that an insider does not have MNPI at the time they make a trade"

"I support today’s proposal to address potential abuses of Rule 10b5-1(c) trading arrangements.  The proposed cooling-off periods of 120 days for officers and directors and ...

"Not only is 45 days shorter than our customary comment periods, which have typically been 90 or at least 60 days, these brief comment periods ...

In a rare public meeting scheduled for Dec. 15th, the Commission aims to take up five new rules