Most insider trading cases center on news about a corporate event such as an acquisition or an earnings announcement that has not become public. In
The Supreme Court was the focus of securities litigation this week. Oral argument was presented in the long runningHalliburton case where the
Operation Broken Gate is the SEC's effort to hold gatekeepers accountable. In announcing the initiative, the agency filed three actions involving
The Securities and Exchange Commission filed a settled administrative proceeding charging a former head of investor relations with violating
Insider trading continues to be a critical focus in securities enforcement actions. While few actions will match the significance of those filed
At the Financial Reporting Institute Conference last week SEC Commissioner Walter and Chief Accountant Paul Beswick addressed the necessity for high
There may be a beginning to the end of the battle between U.S. and Chinese regulators over audit work papers relating to PRC based firms. The Public
The focus this week in securities enforcement continues to be SAC Capital. The firm's owner received a grand jury subpoena in the on-going criminal
The transition from a privately held company to being part of a public entity can be difficult.
The SEC’s Aberrational Performance Inquiry resulted in another case this week.