Insider Trading

"I support today’s proposal to address potential abuses of Rule 10b5-1(c) trading arrangements.  The proposed cooling-off periods of 120 days for officers and directors and ...

"Not only is 45 days shorter than our customary comment periods, which have typically been 90 or at least 60 days, these brief comment periods ...

In a rare public meeting scheduled for Dec. 15th, the Commission aims to take up five new rules

'It offers prosecutors easy opportunities to show that they are doing something to hold Wall Street accountable'

'What I found to be very compelling about this letter are lies that Mr. Gad put in the letter'

Regulatory 'firsts' land uncomfortably close to private funds

As McKinsey consultants, Investments Committee members were routinely privy to MNPI relating to, for example, financial results, planned bankruptcy filings, mergers and acquisitions, product pipelines ...

Registered advisers struggle with registration, fees, valuations, conflicts of interest and MNPI, Commission data shows

Advisers see disturbing signs of regulatory innovation

Funds face 'stress-test'