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Browse: Home / 2010 / January / 20 / Insider Trading … in Mutual Fund Shares?

Insider Trading … in Mutual Fund Shares?

By Securities Docket on January 20, 2010, 2:49 pm

I assume the SEC has filed insider trading cases before alleging trading in the shares of a mutual fund, but honestly I cannot think of a single example. Today, though, the SEC filed just such a case alleging trading in the shares of the Evergreen Ultra Short Opportunities Fund, a mutual fund that invested primarily in mortgage-backed securities. Full details are available in this post on my Enforcement Action blog over at Compliance Week.

Posted in SEC | Tagged Insider Trading, Mutual Funds

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