Tag: SEC

Broker Pays Over $42 Million Re Pre-release ADRs

Pre-release ADRs have become a focus of SEC Enforcement. To date the agency has filed 10 settled proceedings involving these securities. Typically, the Order in the proceedings asserts that by failing to comply with the pre-release obligation to beneficially own

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SEC Settles Insider Trading Case Tied to Secondary Offering

Insider trading cases frequently involve trading in advance of a significant corporate event such as an acquisition. A number of insider trading cases also involve trading in advance of an earnings release were the financial results are expected to materially

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