Cryptocurrency

The Investment Advisers Act of 1940Section 204A -- Prevention of Misuse of Nonpublic Information Every investment adviser subject to Section 204 shall establish, maintain, and ...

The first-ever charges against a broker-dealer for failing to protect a customer’s material nonpublic information will result in a $5 million penalty for Wells Fargo ...

Securities Exchange Act of 1934Section 20A -- Liability to Contemporaneous Traders for Insider TradingPrivate rights of action based on contemporaneous tradingAny person who violates any ...

Securities Exchange Act of 1934Section 21A -- Civil Penalties for Insider Trading Authority to impose civil penaltiesJudicial actions by Commission authorizedWhenever it shall appear to ...

To the victor go the spoils. Only weeks after a federal jury acquittedNelson Obus and other defendants in a long-running SEC case claiming insider trading, ...

FINRA employs 37 people who are dedicated to monitoring the markets for insider trading, revealed Samuel Draddy, senior VP in charge of FINRA's Office of ...

Sayena Mostowfi doesn't get the hubbub around high frequency trading. "All it is is electronic trading at higher speeds," says the senior analyst at the ...

Perhaps you've mulled the best practice Margaret Hornbeck accomplished after we recently revealed OCIE's new 27-item trade blotter template (IA Watch, April 28, 2014). The ...

This is an SEC document request letter from an exam out of the San Francisco regional office begun in 2013.

A federal judge last week ended the government's criminal case against S.A.C. Capital Advisors ($41B in AUM) in Stamford, Conn., by approving a plea deal ...