News & Analysis as of

STOCK Act

What Is The Value of Cooperation With the SEC?

by Dorsey & Whitney LLP on

The Commission has long encouraged firms and individuals to cooperate with its investigations based on the promise of consideration when the action is resolved. When the resolution is reached the agency may acknowledge the...more

SEC and U.S. Attorney’s Office Continue Their Pursuit of Criminal Actions Against Purveyors of “Political Intelligence”

by Foley & Lardner LLP on

On May 24, 2017, the United States Attorney’s Office for the Southern District of New York and the Securities and Exchange Commission (SEC) launched their latest criminal and civil salvos against prohibited insider trading by...more

New Criminal and SEC Charges Signal Aggressive Enforcement of Insider Trading Liability for Disclosure of Political Intelligence

by Ropes & Gray LLP on

On May 24, 2017, the U.S. Attorney’s Office for the Southern District of New York (“SDNY”) and the U.S. Securities and Exchange Commission (“SEC”) announced insider trading charges relating to a scheme in which a federal...more

Insider Trading and Related Risks for Executive Branch Employees: Pay Attention to the STOCK Act

by Zuckerman Spaeder LLP on

As a new administration arrives in the nation’s capital amid heightened scrutiny over conflicts between government service and personal business interests, a little-used law — the Stop Trading on Congressional Knowledge Act...more

Looking to Hire an Obama Appointee? What You Need to Know About the New OGE Rules on the Recruiting of Federal Employees

by K&L Gates LLP on

The U.S. Office of Government Ethics (“OGE”) has issued updated rules, which became effective August 25, 2016, on recruiting federal employees for private sector jobs. The revision comes at a time when many in the federal...more

SEC Steps Up Investigations of Political Intelligence Firms for Insider Trading

by Foley & Lardner LLP on

In the last few years, Congress, the U.S. Securities and Exchange Commission (SEC), and the courts have significantly increased their efforts to grapple with insider trading in the realm of political intelligence. In 2012,...more

Insider Trading Gets Political: Trading on Political Intelligence

Some things are better left unsaid. Especially, it seems, when they involve political intelligence shared by a congressional aide with a lobbyist linked to a political intelligence firm serving Wall Street traders....more

Friday Afternoon Smackdown – The SEC v. The House Of Representatives

by Blank Rome LLP on

On Friday, June 20, 2014, the Securities and Exchange Commission filed an action against the Committee on Ways and Means of the U.S. House of Representatives and congressional staffer Brian Sutter seeking enforcement of...more

Financial Services Quarterly Report - Fourth Quarter 2013: Political Intelligence Firms – Insider Trading and Enforcement Shifts...

by Dechert LLP on

Insider trading remains a top priority for the Securities and Exchange Commission (SEC) and Department of Justice (DoJ). In fiscal year 2012, the SEC filed 58 enforcement actions against 131 individuals and entities and the...more

The STOCK Act and the Political Intelligence Industry: No Easy Answers

by Morrison & Foerster LLP on

Investors who hire political intelligence firms to collect information from government sources should take notice of the Stop Trading on Congressional Knowledge (STOCK) Act, according to panelists at a recent American Bar...more

Insider Trading Annual Review - 2012

by Morrison & Foerster LLP on

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

What You Need to Know About the STOCK Act

by Holland & Knight LLP on

Beginning today, members and senior staff1 of the U.S. House of Representatives and U.S. Senate are required to disclose certain financial transactions no later than 45 days after the transaction has occurred. This new...more

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