In this issue:
- Mary Jo White, Nominee for Chair of the SEC, Appears Before Senate Banking Committee
- SEC Proposes Rules Regarding Technology Systems
- FINRA Amends Rules to Address Extraordinary Market Volatility
- FINRA Changes Membership Application Fees
- SEC Approves OBS Supplemental Schedule
- FCMs Required to Have Chief Compliance Officer by March 29
- CFTC Reminds Market Participants of Swap Data Reporting Requirements
- SEC Risk Alert Identifies Common Adviser Custody Rule Deficiencies
- Texas District Court Addresses Misappropriation Theory of Insider Trading
- Excerpt from "Texas District Court Addresses Misappropriation Theory of Insider Trading"
The US District Court for the Northern District of Texas recently denied a defendant’s motion for summary judgment in a Securities and Exchange Commission civil enforcement action under the “misappropriation” theory of insider trading, finding that an implicit agreement may be sufficient to establish liability.
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