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Posted on by T. Gorman Posted in SECActions

Last week the Commission filed two new enforcement actions. Each case centered on insider trading claims. Be careful, be safe this week. Rules: The Commission adopted certain reforms tied to investment advisers who operate exclusively through the internet on March …

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Posted on by T. Gorman Posted in SECActions

Insider trading has long been a focus of the Commission, a fact well known in the markets and among securities professionals. That fact is also well know among executives at public companies. Nevertheless, the practice has not been eliminated. Indeed, …