‘Enforcement 40’ for 2020
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By Securities Docket on June 5, 2017, 1:48 pm
Photos and highlights from Securities Enforcement Forum West 2017.
By Securities Docket on June 5, 2017, 10:09 am
The SEC has continued to pursue a number of insider trading cases this year, both large-scale and small. Some of those matters involved trades that yielded relatively small amounts of profits: $40,000-$60,000. Why does the enforcement division spend resources on these smaller cases? First, they serve as a reminder that violations can be identified, even […]