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Browse: Home / 2015 / August / 26 / Plan B? Feds Pursue Insider Trading Charges Under SOX Provision | Compliance Week

Plan B? Feds Pursue Insider Trading Charges Under SOX Provision | Compliance Week

By Securities Docket on August 26, 2015, 10:23 am

An unusual insider trading prosecution brought under a provision of SOX (rather than Section 10(b) of the Exchange Act) suggests that prosecutors are seeking a “Plan B” in the wake of the Second Circuit’s disruptive decision in U.S. v. Newman.

via Plan B? Feds Pursue Insider Trading Charges Under SOX Provision | Compliance Week.

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Posted in Criminal, SEC, Top | Tagged Insider Trading, Newman, Section 1348

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