Month: June 2006

Two Current Enforcement Priorities: Options and Medical Information

Current focus areas for the SEC Enforcement Division include the issuance of stock options and the misuse of medical research data. Investigations concerning the former have increased greatly. For example, a recent report in the New York Times on June

SEC Tries Again to Claim Market Timing is Fraud

SEC recently filed yet another enforcement action claiming fraud under the headline “SEC Refiles Action Against Two Former Columbia Executives for Conduct Relating to Mutual Fund Market Timing Arrangements.” Lit. Rel. No. 19708 This, of course, is not the