Insider Trading

Trading is the heartbeat of most advisory firms – and an area compliance must monitor.   Pitfalls exist aplenty. Insider trading. Trading ahead. Unfair trade allocations. Expensive ...

Earlier this month, the U.S. Second Circuit Court of Appeals denied the government’s request that the court reexamine its ruling in United States v. Newman. ...

In a bid to require the SEC to implement a more rigorous, fair and public process for the granting of disqualification waivers, Rep. Maxine Waters ...

The court filings are flying in the U.S. v. Newman insider trading case (IA Watch, Dec. 11, 2014). On Jan. 23, both the DOJ and ...

Click here to open a Word file from a peer that can serve as an attestation form for staff. Employees would attest to understanding the ...

The law of insider trading is otherwise defined by judicial opinions construing Rule 10b-5, and Rule 10b5-1 does not modify the scope of insider trading ...

Preliminary Note to §240.10b5-2: This section provides a non-exclusive definition of circumstances in which a person has a duty of trust or confidence for purposes ...

A former Ameriprise Financial hedge fund portfolio manager has settled an SEC insider trading case, pushing her collective penalties for the illegal activity to close ...

Two years ago, traders Todd Newman and Anthony Chiasson were charged with insider trading, allegations that eventually took down their firms – an investment adviser ...

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