Insider Trading & Disclosure Update - Vol. 10

December 2023
View PDF
In this Issue:
  • Supreme Court Revisits SEC’s In-House Courts
  • SEC’s “Shadow Trading” Theory Survives Summary Judgment
  • DOJ’s RMBS Working Group Settles Final Civil Penalty Case Related to 2008 Financial Crisis
  • Visiting International Attorney at Law Firm Arrested for Insider Trading
  • British Billionaire, Girlfriend and Associates Charged in Tipping Scheme
  • Former Blackstone and Goldman Sachs Analyst Charged with Insider Trading after Tipping Friends
  • Judge Hands Down Short Sentence in Novel NFT Insider Trading Case
  • SEC Charges Broker-Dealer with Inaccurate Information Barrier Disclosures
  • SEC Charges Lyft with Failing to Disclose Director’s Role in Pre-IPO Stock Sale
  • Cooperating Smart Window Manufacturer Settles Disclosure Charges without Civil Penalty
  • GTT Communications Escapes Fine for Misleading Disclosures after Substantial Cooperation with the SEC
  • Court Rules against Company for Describing Lawsuit as “Without Merit”
  • SEC Settles Charges against Stanley Black & Decker and Former Executive for Failures in Executive Perks Disclosure
  • SEC Settles Five Actions in Sweep of Rule 12b-25 Disclosure Violations
  • New Cybersecurity Disclosure Rules and Their Implications for Insider Trading