July 2013 – SEC ACTIONS

Month: July 2013

The Reach of Section 10(b) After Morrison and Dodd-Frank

Posted on July 31, 2013 by T. Gorman Posted in SECActions

The SEC has filed an insider trading case that raises significant questions regarding the reach of the antifraud provisions.

Tagged with: Dodd-Fran, extraterritorial reach, Insider trading, Morrison, secactions

IR Executive Who Wrote Company Insider Trading Policy Charged by SEC with Repeated Insider Trading

Posted on July 30, 2013 by T. Gorman Posted in SECActions

An IR executive who wrote the company insider trading policy is named in an insider trading action.

Tagged with: Insider trading, secactions