Dodd-Frank, insider trading and the FCPA continue were key to securities regulation and enforcement this week. The Commission proposed more rules to implement the Reform Act. In this instance the rules concern security-based swap execution facilities. Insider trading continues to …

THIS WEEK IN SECURITIES LITIGATION (February 4, 2011) Read More »

The Commission concluded a long running financial fraud action yesterday, settling with the former CFO of Fischer Imaging Corporation, Rodney B. Johnson, and a former sales executive of the company, Robert Hoffman. SEC v. Rivelli, Civ. No. 05-CV-1039 (D. Colo. …

THE SEC CONCLUDES A FINANCAL FRAUD CASE Read More »