Year: 2012

The SEC Action Against the NYSE: The Need to Ensure Fair Markets

When corporations selectively disseminate material non-public information to one group prior to making it publically available is a violation of Regulation FD, the selective disclosure unfairly disadvantages the investing public. When a corporate executive furnishes his or her friends with

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This Week In Securities Litigation (Week ending September 14, 2012)

The Commission settled a significant market crisis case this week following two years of litigation. It also filed two administrative proceedings centered on allegations of churning and failure to supervise. One settled, the other will be set for hearing. In

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