Sec Enforcement Of Insider Trading Regulations

SEC Compliance and Enforcement Answer Book 2015 answers hundreds of real-world questions related to the nuances of unique SEC Enforcement procedure, and provides sophisticated insight on the complex and extensive body of federal securities laws. Edited by David M. Stuart (Cravath, Swaine and Moore LLP), this expert Q&A guide compiles the perspectives of leading practitioners from around the country who have previously served in the SEC Enforcement Division, many of whom were in some of the most senior positions in the Division. Leveraging the authors' experience and expertise, SEC Compliance and Enforcement Answer Book 2015 provides nuts and bolts guidance on: - Conducting an effective internal investigation - while the SEC is simultaneously investigating - Responding to SEC requests and subpoenas for documents, interviews, and testimony - Cooperating effectively with SEC staff - The Wells process, negotiating resolutions, and litigating with the SEC - The complexities that arise when criminal and international law enforcement authorities becomes involved in an SEC investigation Additionally, SEC Compliance and Enforcement Answer Book 2015 answers questions on insider trading, accounting and securities fraud, market manipulation and foreign corruption. The Q&A guide also tackles special issues related to investigations of attorneys, accountants, and those identified by whistleblowers.

This article surveys insider trading enforcement actions brought by the Securities and Exchange Commission (SEC) in the United States in the five-year period from 2009 to 2013. We first introduce the legal framework in which securities laws are enforced in the United States and then focus our analysis on the empirical data of insider trading cases collected from the SEC's news releases and its website. By categorizing actions surveyed, information about types of defendants, types of information used, illicit gain, case results, settlement, and subsequent criminal prosecutions brought by the Department of Justice are revealed and a more complete picture of the enforcement of insider trading law in the U.S is thus provided.Accordingly, this survey offers needed factual understandings to tackle several core issues in the U.S. securities law enforcement: the reason why the SEC is taking such a prime position in securities law enforcement, the phenomenon of extensive use of settlements and their decision process, and the advantages as well as problems brought by the current approach.

This new Second Edition completely updates the first edition published in 1997. Included is comprehensive coverage to proven approaches and techniques for dealing with an enforcement threat from the SEC, self regulatory organizations, or state securities regulators. It takes you step-by-step through enforcement investigations and proceedings, providing you with strategies to influence the outcome of an investigation and prevent or minimize the adverse effects of enforcement actions.