Tag: Insider trading

Introduction The fourth quarter of calendar year 2020 continued trends evidenced in the third quarter of the year, although far fewer cases were initiated. There were actions brought in a number of key areas such as offering fraud cases, those …

SEC Enforcement: The Fourth Quarter of 2020 Read More »

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Last week as everyone celebrated the Thanksgiving holiday, the Commission continued to schedule meetings regarding proposed rule revisions. The rules to be considered involve select offerings tied to compensation. The Enforcement Division filed two new actions in advance of the …

This Week In Securities Litigation (Week of November 30, 2020) Read More »

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