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Insider Trading › Enforcement Guidance

Morgan Lewis - Power & Pipes

CFTC’s 2022 Enforcement Results Confirm Continued Commitment to Robust Program

Morgan Lewis - Power & Pipes on

The Commodity Futures Trading Commission (CFTC or the Commission) released its enforcement results for fiscal year 2022 on October 20, 2022. The enforcement results detail the 82 enforcement actions the CFTC filed in 2022 and...more

Hogan Lovells

SEC enforcement and litigation risks amid the COVID-19 pandemic

Hogan Lovells on

In recent weeks, the Co-Directors of the SEC's Enforcement Division warned of the "importance of maintaining market integrity" in these uncertain times. Specifically, they urged public companies to be mindful of Regulation FD...more

Parker Poe Adams & Bernstein LLP

Insider Trading: Five Reminders From the SEC Division of Enforcement

Parker Poe Adams & Bernstein LLP on

A recent litigation release from the SEC Division of Enforcement, though seemingly unremarkable, highlights five basic principles that sometimes slip off a company’s insider trading compliance radar. ...more

Proskauer - The Capital Commitment

SEC Speaks: 2017 Enforcement and Exam Trends for Private Funds

Proskauer - The Capital Commitment on

At the recent SEC Speaks program, sponsored by PLI, senior SEC staff members provided valuable insight into the SEC’s 2017 priorities for private funds. While the tenor of this year’s discussion seemed to focus more on...more

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