Weekly Brief: Rakoff Orders Gupta To Pay Goldman Sachs' Legal Fees
Corporate Law Report: Mobile App Privacy, HR & the FCPA, Insider Trading, First Sale Doctrine, More
Rajaratnam Judge: Wiretaps in Insider Trading Cases are "Radical"
In This Issue:
- Registered Investment Advisers’ Annual Review of Compliance Policies and Procedures
- Mutual Fund Boards and Oversight of Fair Valuation
- Mutual Funds and...more
This Outline highlights key U.S. Securities and Exchange Commission (the "SEC" or the "Commission") and Financial Industry Regulatory Authority ("FINRA") enforcement developments and cases regarding broker-dealers during...more
On December 28, 2012, the Council of Institutional Investors (CII) submitted a letter to the Securities and Exchange Commission (SEC) requesting that the SEC implement rulemaking to impose new requirements with respect to...more
It is hard to know whether the government’s aggressive enforcement of insider trading laws deters criminals from violating securities laws. One key factor in this equation is the risk of getting caught. The Obama...more
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