A Week of Settlements
This has been the week of settlements for the Commission. Since the 4th of July holiday, the agency has not filed a new enforcement action as either a civil injunctive action or an administrative proceeding. The agency has filed two …
A Week of Settlements
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When Small Insider Trading Profits Yield a Max Penalty
Insider trading has long been a key component of the Commission’s enforcement program. Yet over the years the exact theory being employed has varied. Nevertheless, the core theory has remained constant – using inside information for personal benefit in connection …
When Small Insider Trading Profits Yield a Max Penalty
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