Insider trading continues to be a key focus of the enforcement division. Last year, there was a significant increase in the number of insider trading cases brought by the division, as discussed here. Likewise, NYSE Regulation reports that insider trading …

The SEC Continues To Focus On Insider Trading Read More »

There were two key policy initiatives in 2008 which will continue to impact SEC enforcement in the future. The first is the publication of the SEC’s Enforcement Manual. The second concerns cooperation guidelines which, in part are in the Manual, …

Part II: SEC Enforcement Trends, 2009: Significant Policy Initiatives Read More »