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Second Circuit Releases New Blaszczak Decision, Decides Case without Addressing "Personal Benefit" Issue for 18 USC § 1348 Cases

USA - January 26 2023 On December 27, 2022—nearly 18 months after hearing oral arguments—the Second Circuit issued its new opinion in United States v. Blaszczak,i an…

Brett Atanasio, Mark D. Cahn

Getting Ready for Amended Rule 10b5-1 and Other New Requirements

USA - December 29 2022 In December 2022, the Securities and Exchange Commission (SEC) adopted amendments to Exchange Act Rule 10b5-1, the rule that provides an affirmative…

C. Alex Bahn, Meredith B. Cross, Stephanie Leopold, Erika L. Robinson, Knute J. Salhus, Alan J. Wilson, Jonathan Wolfman

SEC Holiday Reading List: Four Rule Proposals That Would Overhaul Market Structure and How Retail Orders Are Executed

USA - December 16 2022 On December 14, 2022, the Securities and Exchange Commission released four sweeping rulemaking proposals that would change market structure as we…

Bruce H. Newman, Stephanie Nicolas, Jessica Notebaert, Andre E. Owens, Susan Schroeder, Kyle P. Swan

SEC proposes monthly short sale reporting and aggregated public disclosure

USA - March 9 2022 On February 25, 2022, the Securities and Exchange Commission (SEC) proposed Rule 13f-2 under the Securities Exchange Act of 1934 (the Exchange Act)…

Aaron Friedman, Timothy F. Silva

SEC is pushing boundaries in insider trading enforcement

USA - February 9 2022 The U.S. Securities and Exchange Commission's actions in 2021 demonstrated that insider trading remains a key enforcement priority. While the…

Brett Atanasio, Mark D. Cahn, Theresa Titolo