Month: February 2016

At SEC Speaks Chair White noted that the SEC is more than a disclosure agency. In areas like exchange regulation financial standards and investment advisers the Commission engages in substantive regulation, suggesting perhaps the focus for the future. Commissioner Stein, …

This Week In Securities Litigation (Week ending February 26, 2016) Read More »

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The SEC partially settled what is perhaps one of its more unusual insider trading cases. It involved defendants who posed as portfolio managers who then induced investment bankers to entrust them which inside information that was then used to trade. …

SEC Partially Settles “Portfolio Manager” Insider Trading Case Read More »

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