In the first half of 2024, the Financial Industry Regulatory Authority (FINRA) issued several fines and suspensions against participants in the municipal market, including for violations of its registration, reporting,...more
7/26/2024
/ Broker-Dealer ,
Department of Justice (DOJ) ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Financial Regulatory Reform ,
Financial Services Industry ,
MSRB ,
Municipal Securities Market ,
Proposed Rules ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
Summary -
The recently unsealed indictment of health care company Ontrak for insider trading marks the first criminal prosecution alleging an executive’s fraudulent use of a 10b5-1 trading plan to facilitate unlawful...more
The U.S. Securities and Exchange Commission (SEC) and the U.S. Department of Justice (DOJ) brought actions against SpaceX engineer James Roland Jones for selling insider information on what’s known as the dark web....more
In an historic move this week, the Securities and Exchange Commission (SEC) and the Antitrust Division of the Department of Justice (DOJ) executed the first-ever memorandum of understanding (MOU) between the two agencies. ...more
As the federal government responds to the coronavirus pandemic, its purchases of goods and services are increasing. Organizations that compete for government contracts and program funding should be prepared for increased...more
3/23/2020
/ Antitrust Division ,
Antitrust Investigations ,
Antitrust Violations ,
Bid Rigging ,
Department of Defense (DOD) ,
Department of Justice (DOJ) ,
FBI ,
Federal Procurement Systems ,
Fraudulent Procurement ,
Procurement Collusion Strike Force ,
USPS