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Exemptions Insider Trading

Dechert LLP

SEC Approves Amendments to FINRA New Issue and Anti-Spinning Rules

Dechert LLP on

The Securities and Exchange Commission approved amendments to the Financial Industry Regulatory Authority New Issue Rule (Rule 5130) and Anti-Spinning Rule (Rule 5131) (collectively, Rules) on November 5, 2019...more

Allen Matkins

CalPERS’ Offbeat Personal Trading Policy

Allen Matkins on

Yesterday’s post discussed a news report of an SEC inquiry into insider trading by CalPERS. Rather than being abashed by this news, CalPERS responded by congratulating itself on having implemented a personal trading policy....more

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