Insider Trading Disclosure Update - Vol. 7
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In this Issue:
- BMW Settles Charges of Misleading Disclosures in Rule 144A Offering Memoranda
- SEC Enforcement Focus on Beneficial Ownership Reporting by Investment Advisors
- SEC to Fund Managers: Take Care with Controls Over the Possession and Use of MNPI
- SEC’s Division of Enforcement Reports Healthy Results for Fiscal Year 2020
- U.S. Supreme Court’s Decision in Liu v. SEC may Significantly Limit Disgorgement in Insider Trading Cases
- COVID-19 Guidance and Regulation S-K Simplification and Modernization: The Year in Review
- Insufficient Internal Controls Result in SEC Enforcement in Connection with Rule 10b5-1 Plan
- Insider Trading Reform: New Administration, New Congress, Renewed Momentum?
- United States v. Blaszczak: Second Circuit Opens the Door to U.S.C. Title 18 Insider Trading Prosecutions