‘Enforcement 40’ for 2020
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By Securities Docket on August 26, 2015, 10:23 am
An unusual insider trading prosecution brought under a provision of SOX (rather than Section 10(b) of the Exchange Act) suggests that prosecutors are seeking a “Plan B” in the wake of the Second Circuit’s disruptive decision in U.S. v. Newman. via Plan B? Feds Pursue Insider Trading Charges Under SOX Provision | Compliance Week.