Tag: Insider trading

Insider trading has long been a staple of the Enforcement Division. Typically, the remedies sought for insider trading cases are the imposition of an injunction, disgorgement, prejudgment interest and a penalty. Under the Supreme Court’s decision in Liu v. SEC, …

Insider Trading and Liu Read More »

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Rule 10b-5-1 plans have been around for about 20 years. The theory of the plans is straight forward. Typically, a corporate executive not in possession of inside information constructs a plan, usually with his or her broker, for the automatic …

SEC Chair Gensler and Rule 10b-5-1 Plans Read More »

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