In the typical insider trading case a person entrusted with confidential, material non-public information breaches their duty for personal gain and trades for a profit or to avoid a loss or furnishes the information to someone who seeks to profit …
Market Professional Sentenced to 30 months for Insider Trading Read More »
The SEC Enforcement Division published its annual report, discussing the results of the last fiscal year (here). As with last year’s report, the glossy compilation of statistics, goals, and discussion emphasizes the achievement of the program while arguing that statistics …
SEC Enforcement Statistics for Fiscal 2018: A Focus on IAs Read More »