Tag: options

Insider trading has long been prohibited by the Commission. While there is nothing in the text of Section 10(b) that specifically prohibits or even references insider trading, over the years the agency has brought a series of cases in which …

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The Enforcement Division’s focus on retail investors is illustrated by a recent offering fraud case brought by the Commission. The key elements of that action were: a fund run by a person that worked in the financial industry, giving him …

SEC Enjoins Firm Trading Binary Options That Guaranteed No Losses Read More »

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