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In Echo Of Expert Network Cases, SEC Reaches Securities Fraud Settlement With Alternative Data Provider - Corporate/Commercial Law

In Echo Of Expert Network Cases, SEC Reaches Securities Fraud Settlement With Alternative Data Provider - Corporate/Commercial Law
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In Echo of Expert Network Cases, SEC Reaches Securities Fraud Settlement with Alternative Data Provider | Kramer Levin Naftalis & Frankel LLP

In Echo of Expert Network Cases, SEC Reaches Securities Fraud Settlement with Alternative Data Provider | Kramer Levin Naftalis & Frankel LLP
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Split SEC Settles Touting Charges With ICO

Split SEC Settles Touting Charges With ICO
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SEC Statements Suggest Heightened Insider Trading Scrutiny Even if Using a Rule 10b5-1 Trading Plan | White & Case LLP

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Recent warnings from the US Securities and Exchange Commission ( SEC ) and the US Congress could translate into more aggressive scrutiny of trading plans adopted pursuant to Rule 10b5-1 of the Securities and Exchange Act of 1934 ( Exchange Act ).
In a speech delivered on June 7, 2021, SEC Chair Gary Gensler identified several cracks in Rule 10b5-1 trading plans that could allow for insider trading.
1 A few days later, the SEC released an updated rulemaking agenda, which includes amendments to the affirmative defense against insider trading provided by Rule 10b5-1 to corporate executives and directors ....

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Naked Short Selling Case Brought by SEC

Short selling is a type of short selling occurs when an investor borrows a security and sells it on the open market, planning to buy it back later for less money. Naked short selling is unlawfully short selling shares that have neither been borrowed nor located. Bad Idea. ....

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