‘Enforcement 40’ for 2020
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By Securities Docket on August 16, 2016, 10:43 am
Insider trading can be prosecuted by the Justice Department, and it can be pursued in a civil enforcement action by the Securities and Exchange Commission. The S.E.C. used to handle the bulk of these cases, but lately it seems that more cases result in criminal charges along with a parallel lawsuit. An interesting question is […]
By Securities Docket on August 16, 2016, 10:42 am
Enforcement activity through the first three quarters of FY 2016, ending on June 30, 2016, lags the record levels registered in FY 2015. via SEC Enforcement Activity Dips in 2016 | Cornerstone Research