Adam Wasserman

Adam Wasserman

Dechert LLP

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SEC Brings Settled Administrative Proceedings Against NYSE Relating to Informational Advantages, Electronic Trading and Other...

The Securities and Exchange Commission (SEC or Commission) on May 1, 2014 announced a settlement (Settlement) with the New York Stock Exchange LLC and certain of its affiliates (collectively, the NYSE), addressing a variety...more

6/6/2014 - Affiliates Civil Monetary Penalty Compliance Electronic Trading Enforcement Enforcement Actions High Frequency Trading Information Sharing Neither Admit Nor Deny Settlements NYSE SEC Settlement

Financial Services Quarterly Report - Fourth Quarter 2013: Political Intelligence Firms – Insider Trading and Enforcement Shifts...

Insider trading remains a top priority for the Securities and Exchange Commission (SEC) and Department of Justice (DoJ). In fiscal year 2012, the SEC filed 58 enforcement actions against 131 individuals and entities and the...more

12/26/2013 - DOJ Enforcement Enforcement Actions GAO Hedge Funds Insider Trading Investment Companies Material Nonpublic Information Personal Liability Political Intelligence Public Officials SEC STOCK Act Stock Trades

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