Tag: offering fraud

Last week the Commission resolved two litigated actions. One involved the so-called “shadow” insider trading case in which a jury returned a verdict in favor of the agency in a case where Defendant did not trade in the securities involved …

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Last week the Commission filed three new actions: One centered on Regulation BI, a second was based on an offering fraud and a third tied to disclosure issues. The staff also published its annual report on Nationally Recognized Statistical Rating …

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