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Hedge Funds › Enforcement › Financial Industry Regulatory Authority (FINRA)

Dorsey & Whitney LLP

This Week In Securities Litigation (Week ending February 7, 2014)

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Matthew Martoma was convicted of insider trading by a Manhattan jury. That jury found him guilty of one count of conspiracy and two counts of securities fraud. The convictions continues the unbroken string of victories in...more

Morrison & Foerster LLP

Investment Management Legal + Regulatory Update -- February 2013

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In This Issue: Regulatory Updates - FINRA overhaul of communications rules becomes effective and ICI and CoC appeal Rule 4.5 ruling. Enforcement + Litigation - Enforcement Division priorities target hedge...more

Foley & Lardner LLP

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

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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

Foley & Lardner LLP

A Compilation of Enforcement and Non-Enforcement Actions - December 28, 2012

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In This Issue: Non-Enforcement Matters: - New SEC Registrants Under Dodd-Frank to Be Focus of SEC Examination Program - FINRA Rule 5123 Revisited Enforcement Matters: - SEC Accuses...more

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