Daniel A. Nathan

Daniel A. Nathan

Morrison & Foerster LLP

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Financial Fraud Law Report: October 2013 - Insider Trading in Mutual Funds: Do Traditional Theories Apply?

A federal court of appeals recently held out the possibility that insider trading prohibitions — at least under the classic theory — do not apply to mutual fund redemptions. The U.S. Court of Appeals for the Seventh...more

10/25/2013 - Chief Compliance Officers Compliance Fraud Insider Trading Mutual Funds Rule 10b-5 SEC Securities Exchange Act White Collar Crimes

Insider Trading in Mutual Funds: Do Traditional Theories Apply?

A federal court of appeals held out the possibility that insider trading prohibitions – at least under the classic theory – do not apply to mutual fund redemptions. The U.S. Court of Appeals for the Seventh Circuit...more

8/9/2013 - Chief Compliance Officers Insider Trading Mutual Funds Right of Redemption SEC Securities Exchange Act Summary Judgment

Please Mr. Postman: FINRA Cracks Down on Late Prospectus Delivery

FINRA has been engaged in a “stealth sweep” of firms’ untimely deliveries of mutual fund and ETF prospectuses that has resulted in formal disciplinary proceedings against twelve firms since 2011, and a total of over $5...more

7/30/2013 - Broker-Dealer ETFs FINRA Mutual Funds Notice Requirements Prospectus Securities Act of 1933

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