Tag: financial fraud

The Commission has been focusing its enforcement efforts in traditional areas. Those include offering frauds, insider trading, and financial fraud. The latter is an area in which the agency has repeatedly tried to replicate its success from earlier years. Yet, …

Baxter Settles Financial Fraud Action Read More »

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The list of regulatory matters on the agenda for the Commission continues to grow each week. The list is long and references a number of important topics which range from 10b-5-1 plans to buy-backs and cybersecurity. This seems to flow …

This Week In Securities Litigation (Week of February 7, 2022) Read More »

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