Insider Trading

FINRA is scrutinizing options trading, and believes its ability to conduct surveillance in this area will increase substantially when a consolidated audit trail (CAT) is ...

The long arm of Dodd-Frank has reached into the U.S. Sentencing Commission, which April 13 promulgated proposals that would increase penalties for insider trading cases, ...

It seems almost boiler plate but it's a strategy worth a slot in your arsenal: add an attestation to your firm's annual certification that has ...

What began as a friendship linked by meetings of Alcoholics Anonymous in Philadelphia would turn into one of betrayal that sparked a case of insider ...

What began as a friendship linked by meetings of Alcoholics Anonymous in Philadelphia would turn into one of betrayal that sparked a case of insider ...

Cash for insider information allegedly used to make millions in illicit profits were disguised as soft dollar payments, according to the latest prosecution that targets ...

A man who served as managing director for technology systems at FINRA, and another who was a contract computer programmer there, were among eight individuals ...

Like father, like son. The SECalleges a former Goldman Sachs employee engaged in insider trading by passing on information to his father on coming ETF ...

Click here to open a Word file that contains a peer's policy and attestation for employees to sign in an effort to prevent insider trading ...

A look at SEC settlement activity for the first half of FY 2011 discovers that the agency settled only 25 insider trading cases. However, the ...