Insider Trading

Settlement stemmed from activity relating to a Texas-headquartered broker-dealer's incubation of three start-up companies

There were no P&Ps for Marathon employees to conduct due diligence concerning advisers’ evaluation or handling of any potential MNPI or for obtaining a representation ...

The adviser failed to establish, maintain, and enforce written P&Ps reasonably designed to prevent the misuse of material nonpublic information concerning its trading of collateralized ...

The protection of MNPI remains a top focus of the SEC's Division of Examinations

SRO's insider trading detection program made 450 referrals to the SEC and other regulators last year alone

'It's a novel insider trading theory,' enforcement chief tells Managed Funds Association conference

'Now we need to train our people to be think more broadly about' about insider trading, Seward & Kissel's Moustakis says

Witness' about-face leaves feds without case

'Scary' case should worry small- and mid-sized managers, expert says

Two employees involved with large blocks trades disclosed to certain buy-side investors non-public, potentially market-moving information, concerning impending "block trades, violating the selling shareholders’ expectations ...