‘Enforcement 40’ for 2020
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By Securities Docket on January 18, 2017, 2:48 pm
The U.S. Court of Appeals for the Second Circuit shook the insider trading world in 2014 when it issued United States v. Newman, 773 F.3d 438 (2d Cir. 2014). The court addressed the knowledge required for liability of remote tippees and what a personal benefit means in tipping cases. I think the decision in that […]
By Securities Docket on November 3, 2016, 11:19 am
Via this article in Bloomberg News, I was pleased to discover that former SEC enforcement attorney David Smyth, now a partner at North Carolina-based law firm Brooks, Pierce, McLendon, Humphrey & Leonard LLP, has developed a creative cartoon series that helps explain securities enforcement related issues. His work is “The Insider Trading Cartoon Series,” which is now a […]
By Securities Docket on October 1, 2012, 1:43 pm
Watch cartoon robots discuss the whistleblower provisions of the Dodd-Frank act.
By Securities Docket on September 9, 2009, 1:00 pm
Sesame Street’s Grover confirms times are tight on Sesame Street, too, in tonight’s prime-time special.