Insider Trading Under the Federal Securities Laws and Other Insider Trading Restrictions
- ISBN-10
- 1633591859
- ISBN-13
- 9781633591851
- Category
- Corporations
- Language
- English
- Published
- 2017
- Author
- Leonard W. Wang
Description
... focuses on federal regulation of trading by corporate insiders and other trading involving the misuse of material nonpublic information. It presents the evolution of the prohibition against insider trading, and discusses the safe harbor against certain liabilities offered by Rule 10b5-1. It covers reporting requirements and short-swing profit liabilities for executive officers, directors and 10% shareholders. The prohibition on trading by executive officers and directors during certain pension plan trading blackout periods is also discussed. In addition, the Portfolio discusses the SEC enforcement process, especially as it is applied to insider trading. Particular attention is paid to the broad reach of the agency's investigative powers, and the depth to which the agency enforcement personnel may investigate in their pursuit of potential wrongdoers. Sanctions and other consequences of violations of law are analyzed.
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