Month: June 2016

Repeated insider trading, no matter how small the amounts, is likely to be found by the SEC’s big data approach to surveillance. A former vice president of a retail chain learned this lesson the hard way. SEC v. Hammon, Civil …

Repeated, Small Insider Trades Draws SEC Sanctions Read More »

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The Commission prevailed in the D.C. Circuit which rejected a challenge to Regulation A+. Petitioners, the chief security regulators for Massachusetts and Montana argued that the SEC’s rules were contrary to the Supreme Court’s decision in Chevron, U.S.A. Inc. v. …

D.C. Circuit Rejects Challenge to SEC Regulation A+ Read More »

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