Insider Trading, Enforcement | JD Supra Law News

SEC Speaks: Agency Takes Back-To-Basics Approach In Face Of Changing Leadership, Congressional Mandates And New Technologies

by Regina LaMonica, Jose Lopez, Keith Miller, Charles Mulaney, Pravin Rao | Perkins Coie on 2/25/2013

The annual “SEC Speaks” conference, in which Securities and Exchange Commission (SEC) representatives review the agency’s efforts over the past year and preview the year to come, was held on February 22-23, 2013. A...more

Hong Kong Capital Markets Quarterly News -- February 2013

by Stephen Birkett, Charles Chau, Melody Junhua He-Chen, John Moore, Venantius Tan, Gregory Wang | Morrison & Foerster LLP on 2/8/2013

In This Issue SFC’s Consultation Conclusions on Regulation of Hong Kong IPO Sponsors; Statutory Obligation to Disclose Inside Information now Effective; SFC Review of the Exchange’s 2011 Performance; Consultation...more

A Compilation of Enforcement and Non-Enforcement Actions - January 31, 2013

by Michael G. Dana, Peter D. Fetzer, Terry D. Nelson | Foley & Lardner LLP on 1/31/2013

In This Issue: Non-Enforcement Matters - FINRA Announces Regulatory and Examination Priorities for 2013 - SEC Previous Hedge Fund Enforcement Trends for 2013 Enforcement Matters - Another...more

Skadden, Arps, Slate, Meagher & Flom LLP

"SEC Enforcement in the Second Term of the Obama Administration"

by Joshua Ellis, Louis Greenstein, Andrew Lawrence, Colleen Mahoney, Erich Schwartz, Charles Smith, Charles Walker | Skadden, Arps, Slate, Meagher & Flom LLP on 1/23/2013

As the second term of the Obama administration begins, the SEC is experiencing a profound leadership transition, with the departures of agency Chair Mary Schapiro; Director of Enforcement Robert Khuzami; its general counsel;...more

Insider Trading Annual Review - 2012

by Jordan Eth, Randall Fons, Joel Haims, Carl Loewenson, Jr. | Morrison & Foerster LLP on 1/18/2013

In This Issue: Overview Of Insider Trading Law; 2012 Enforcement activity; Galleon Update; Expert Network Cases; What Does Cooperation Buy You?; Global Trading, Global Enforcement; Legislative Reform; 10b5-1 Plans: Not...more

Recent Insider Trading Case Sparks Concerns Over Leaked Clinical Trial Results

by Choate Hall & Stewart LLP on 12/20/2012

What you need to know: The Martoma insider trading case is the latest in, and largest of, a string of actions brought by the Securities and Exchange Commission related to the alleged misuse of confidential clinical trial...more

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Insider Trading › Enforcement