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SEC Proposes Amendments to Rule 10b5-1

By Steve Quinlivan on 12/17/2021

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House Passes Legislation Addressing 10b5-1 Plans

By Steve Quinlivan on 04/23/2021

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SEC Commissioners Explain Dissent from Enforcement Action Related to 10b5-1 Plan

By Steve Quinlivan on 11/13/2020

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Continue Reading SEC Commissioners Explain Dissent from Enforcement Action Related to 10b5-1 Plan

SEC Charges Alternative Asset Manager with Failing to have Sufficient Policies to Prevent Use of MNPI

By Steve Quinlivan on 05/30/2020

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Continue Reading SEC Charges Alternative Asset Manager with Failing to have Sufficient Policies to Prevent Use of MNPI

Disclosure Guidance: Topic 9 – SEC Publishes Guidance on COVID-19 Disclosure and Securities Law Obligations

By bryanpitko & Steve Quinlivan on 03/25/2020

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CFTC Brings First Ever Charges for Insider Trading in Commodities

By Steve Quinlivan on 12/04/2015

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Continue Reading CFTC Brings First Ever Charges for Insider Trading in Commodities