‘Enforcement 40’ for 2020
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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 […]
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 […]