Archives by date

You are browsing the site archives by date.

SEC on the Defense in Federal Appeals Courts | Bloomberg BNA

By Securities Docket on September 8, 2016, 3:17 pm

The Securities and Exchange Commission will defend the constitutionality of its in-house forum before a fourth federal appeals court this year in what could produce a circuit split requiring U.S. Supreme Court intervention. The late October oral argument before the Fourth Circuit in Bennett v. SEC is just one of several significant cases in which […]

Posted in SEC, Top | Tagged Appellate

SECs Trader-Based Approach To Insider Trading Enforcement – Lexology

By Securities Docket on September 8, 2016, 10:14 am

The SEC’s increasingly sophisticated ability to, in Friestad’s words, connect “patterns of trading to sources of material nonpublic information,” therefore, should sound as an alarm bell to professional traders and portfolio managers whose otherwise innocent trading may come under enhanced scrutiny, and to compliance departments tasked with administering information controls, reviewing employee personal trading and […]

Posted in SEC, Top | Tagged Insider Trading, Investigations