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Second Circuit Broadens 'Personal Benefits' Triggering Insider Trading Liability

As noted in our December 9, 2016, Client Alert, the Supreme Court in Salman v. U.S. ruled that the required “personal benefit” to the person disclosing inside information (the tipper) does not need to be “pecuniary” or...more

The U.S. Supreme Court Puts S.E.C. Disgorgement Actions on the Clock

The U.S. Supreme Court continues to limit the timeframe in which the U.S. Securities and Exchange Commission (“S.E.C.”) can seek to levy monetary penalties in enforcement actions it brings against violators of the federal...more

U.S. Supreme Court Affirms Broader View of “Personal Benefits” That Can Trigger Insider-Trading Liability

To be liable for insider trading in violation of the federal securities laws, the insider “tipper” who discloses the inside information must personally benefit, directly or indirectly, from his disclosure to a “tippee” who...more

DOL Issues Groundbreaking Fiduciary Investment Rules

Do you have investments in a retirement plan or IRA, or are you a retirement plan fiduciary or provide investment services to a retirement plan or IRA? On April 6, 2016, the Department of Labor (DOL) released its...more

SCOTUS Clarifies “Fraud on the Market” Procedure in Securities Class Actions

Investors suing for damages in a private securities fraud action under the U.S. securities laws must prove, among other things, that they relied on the defendant’s misstatement when they bought or sold a security. In Basic v....more

“The SEC Speaks” 2014 — SEC Reveals Regulatory and Litigation DNA Now Includes Economic Analysis and Technology

The Securities and Exchange Commission is incorporating economic and technology-based data analytics and statistical analyses to support its regulatory functions, SEC Chair Mary Jo White revealed at the 43rd annual “The SEC...more

Obama Administration Trade Secret Report Raises Important IP, Business, and Securities Issues

The Obama Administration’s recent “Strategy on Mitigating the Theft of U.S. Trade Secrets” makes clear the importance for businesses to be aware of and understand the international threats to their intellectual property, the...more

SEC Commissioners Say More Regulation, Oversight Needed

SEC commissioners called for a more regulations and oversight to protect investors from fraud and other dangers, reports Miller Canfield securities compliance and enforcement lawyer Matt Allen. Allen attended the 42nd...more

2/25/2013  /  Crowdfunding , Dodd-Frank , JOBS Act , SEC

SEC and DOJ Release FCPA Resource Guide

Today, the Securities and Exchange Commission and the Department of Justice released A Resource Guide to the U.S. Foreign Corrupt Practice Act....more

11/15/2012  /  Compliance , DOJ , FCPA , FCPA Resource Guide , SEC
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