Month: October 2009

The SEC and the CFTC released “A Joint Report of the SEC and CFTC on Harmonization of Regulation” on Friday, October 16, 2009. The report was prepared pursuant to the Treasury White Papers released last June, and discussed here, which …

THE SEC/CFTC REPORT ON HARMONIZATION: ENFORCEMENT Read More »

The largest insider trading cases in history involving a hedge fund, and the first to be based intercepted conversations from a wire tap, were filed on Friday by the U.S. Attorney’s Office for the Southern District of New York and …

A UNIQUE INSIDER TRADING CASE Read More »