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Divided Commission approves controversial amendments to shareholder proposal process
SEC raises shareholder proposal eligibility and re-submission requirements despite significant pushback from industry stakeholders.
Temporary insider had fiduciary duty to not trade on drug trial data
The court upheld the conviction of a medical doctor for insider trading where the doctor acted as a principal investigator responsible for keeping information about a drug study confidential while...
More than numbers: Clayton, Avakian tout enforcement program successes
Current and former enforcement directors assured that statistics related to the Division’s efforts do not tell the whole story, especially given the lack of resources afforded to the Commission.
Spring loading and bullet dodging: House Financial Services probes pandemic-related stock tricks
Concern has grown about whether pharmaceutical companies executives are profiting unfairly from stock maneuvers in connection with taxpayer-funded COVID-19 interventions.
SEC requires that current, public information underly OTC securities quotes
The SEC’s revamp of its rule on broker-dealers’ OTC quotations, the first substantive update in 30 years, requires that information about the issuer and the security be current and...