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Securities and Exchange Commission (SEC) › Policies and Procedures › Confidential Information

Seward & Kissel LLP

SEC Voluntarily Dismisses Action against Hedge Fund Manager over Safeguarding Confidential Information while Participating on...

Seward & Kissel LLP on

On April 7, 2024, the United States District Court for the District of Connecticut approved the Securities and Exchange Commission’s request to dismiss its action against a hedge fund manager for the manager’s alleged failure...more

Foley Hoag LLP

SEC Division of Enforcement Warns of COVID19 Insider Trading Risks

Foley Hoag LLP on

On March 23, the SEC Division of Enforcement (Enforcement) issued a public statement bluntly warning issuers and insiders connected to them, along with broker-dealers and investment advisers, about the unique risks of insider...more

Morrison & Foerster LLP

SEC Charges Broker-Dealer for Failure to Protect Against Insider Trading by Employees

Morrison & Foerster LLP on

The Securities and Exchange Commission for the first time brought charges against a broker-dealer for failure to adequately protect against insider trading by its employees. The charges stem from a broker’s use of a...more

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