Insider Trading, a Breach of Duty
Insider trading has long been a focus for the Commission’s enforcement program. It is a violation of Section 10(b) of the Exchange Act and Rule 10(b)-5 thereunder. Yet those provisions do not even mention insider trading. The violation has traditionally …
Insider Trading, a Breach of Duty
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This Week In Securities Litigation (Week of September 9, 2024) The Commission filed three new actions in the first days of September. Two of those cases were offering frauds while a third focused on an unregistered investment adviser. Typically, this …
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