The Securities and Exchange Commission’s (SEC or Commission) actions in 2021 demonstrate that insider trading remains a key enforcement priority. While the absolute number of insider trading enforcement actions brought by the...more
12/28/2021
/ 10b5-1 Plans ,
Affirmative Defenses ,
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Securities and Exchange Commission (SEC) ,
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On December 30, 2019, the Second Circuit issued a consequential insider trading decision in United States v. Blaszczak. In Blaszczak, the Second Circuit faced the question whether the “personal benefit” test set forth in...more
1/8/2020
/ Administrative Proceedings ,
Appeals ,
Centers for Medicare & Medicaid Services (CMS) ,
Criminal Code ,
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Dirks v SEC ,
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Hedge Funds ,
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Material Nonpublic Information ,
Personal Benefit ,
Rule 10(b) ,
Sarbanes-Oxley ,
Securities and Exchange Commission (SEC) ,
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Wire Fraud