Tag: Insider trading

Insider trading has long been one of the staples of the Commission’s enforcement program. While each of its cases is based on alleged violations of Exchange Act Section 10b, neither the statute nor the rule based on it, mention the …

Tagged with: ,

Last week the Commission filed two new actions. One centered on insider trading and was partially resolved. The second focused on violations of Rule 105 by an investment adviser. The proceeding was resolved. Be careful, be safe this week. SEC …

Tagged with: ,