TITLE

Street Sweep

AUTHOR(S)
MacFadyen, Ken
PUB. DATE
March 2007
SOURCE
Investment Dealers' Digest;3/12/2007, Vol. 73 Issue 10, p2
SOURCE TYPE
Trade Publication
DOC. TYPE
Editorial
ABSTRACT
The author reflects on the regulation of insider trading practices by the Securities and Exchange Commission (SEC) in the U.S. He stated that several nonpublic disclosures by companies led to civil injunctions and penalties. He argued that the penalty should correspond with the crime to combat insider trading activities in the country.
ACCESSION #
24407409

 

Related Articles

  • SEC Proposes Rule Changes and May Heighten Enforcement. Prosser, Sean T. // San Diego Business Journal;04/10/2000, Vol. 21 Issue 15, p19 

    Reports on two sets of rule change proposed by the United States Securities and Exchange Commission that may significantly affect public companies and their shareholder. Selective disclosure, preferential dissemination of information to preferred financial analysts; Insider trading issues which...

  • SEC Gets Judgment Against Employee for Insider Trading.  // BioWorld Today;5/12/2008, Vol. 19 Issue 92, p2 

    The article reports on the final judgment against Harry Yim of California who was accused by the U.S. Securities and Exchange Commission (SEC) of insider trading with Invitrogen Corp. stock. The judgment is part of a settlement that Yim agreed with without admitting or denying accusations. He...

  • Sigma Chairman Teo indicted again. Pryweller, Joseph // Plastics News;8/23/2004, Vol. 16 Issue 25, p3 

    Sigma Plastics Group chairman, Alfred Teo has been indicted on criminal charges by the federal government for alleged securities fraud and insider trading, heaping onto his recent legal troubles. Teo, owner of the largest plastic-bag producer in the United States, was indicted on similar charges...

  • SEC FINES MORGAN STANLEY FOR COMPLIANCE FAILURES. McMorris, Frances A. // On Wall Street;Aug2006, Vol. 16 Issue 8, p24 

    The article reports on the imposition of a $10 million civil penalty by the U.S. Securities and Exchange Commission against Morgan Stanley for allegedly failing to maintain procedures and enforce them to prevent the misuse of material, nonpublic information. It failed to conduct adequate...

  • MARTHA MAKES PEACE. Goldsmith, Jill // Daily Variety;8/8/2006, Vol. 292 Issue 25, p4 

    The article presents information on Martha Stewart, founder of Martha Stewart Omnimedia Inc. (MSO), who has agreed to pay $195,000 to the U.S. Securities and Exchange Commission for the settlement of insider trading charges. This sum is the maximum civil penalty, which is equal to three times...

  • FEI Invites Comments On SEC Selective Disclosure Proposals.  // Financial Executive;Mar/Apr2000, Vol. 16 Issue 2, p58 

    The article discusses the U.S. Securities and Exchange Commission's (SEC) proposed rules regarding selective disclosure. The Financial Executive Institute's (FEI) Committee on Corporate Reporting is preparing letters in response to these rules and they invite comments. The SEC rules are specific...

  • Section 16: SEC changes the rules. Gabele, Bob; Wright, John // Corporate Board;May/Jun91, Vol. 12 Issue 68, p9 

    Discusses the changes in the US Securities and Exchange Commission's Section 16 provisions for insider financial reporting. Implementation of stiff fines and corporate embarrassment; Reporting process revisions; Expanded securities coverage. INSET: Section 16's greatest hits..

  • Insider trading dangers. Rosen, Robert C.; Tevis, Jeffrey B. // Corporate Board;Sep/Oct92, Vol. 13 Issue 76, p6 

    Answers questions concerning insider trading in the United States. Federal statutes or US Securities and Exchange Commission (SEC) regulations dealing with insider trading; SEC's enforcement record in the insider trading area; Types of insider trading; Disclosure of information about insider...

  • SEC amends insider stock transaction reporting rules.  // Corporate Board;Sep/Oct96, Vol. 17 Issue 100, p26 

    Reports on the Securities and Exchange Commission's (SEC) amendment of insider stock transaction reporting rules for corporations in the United States. Disclosure of company holdings and transactions by officers and directors; Exemption of certain transactions between a public company and its...

Share

Read the Article

Courtesy of VIRGINIA BEACH PUBLIC LIBRARY AND SYSTEM

Sorry, but this item is not currently available from your library.

Try another library?
Sign out of this library

Other Topics