Browsing: Regulatory

New Conflict Rules for Debt Research

03/08/2012
We are pleased to include below Fried Frank’s analysis of the new conflict rules for debt research recently proposed by FINRA, kindly provided by Linda Riefberg.  The biographies of the ...

Five More Years of Insider Trading Cases According to FBI

02/29/2012
FBI officials working on insider trading cases predict five more years of prosecutions.  The government is investigating 240 individuals for passing inside information, of which half are expected to become ...

Do We Need More Insider Trading Cases?

02/22/2012
How much is too much?  Voices in the media are beginning to challenge the seemingly interminable number of insider trading cases.   There are risks and opportunity costs to the ...

More Caught Up In Insider Trading Investigation

02/21/2012
New York, NY – Last Thursday, independent technology analyst, John Kinnucan of Oregon-based Broadband Research, was arrested by federal authorities in the ongoing investigation into insider trading.  In addition, Don ...

Mosaic Puzzle Theory

02/16/2012
The reported investigation of a Goldman technology analyst highlights how far the grey area around confidential information has expanded. Does mosaic theory still provide the same level of ...

Political Intelligence Firms Await Congressional Action

02/13/2012
New York, NY – Last Thursday the House of Representatives approved by a vote of 417 to 2 their own version of the STOCK Act, a bill that bans Congress ...

Wall Street Lobbies to Remove Registration from STOCK Act

02/08/2012
New York, NY – Yesterday House Republicans introduced their own version of the STOCK Act, banning federal employees from using information obtained from their jobs to insider trade.  Unlike the ...

STOCK Act Requires Political Intelligence Firms to Register

02/06/2012
New York, NY – Last week, the Stop Trading on Congressional Knowledge (STOCK) Act passed in the Senate with a 96-3 vote.  The bill would ban members of congress and ...

London Caution

01/31/2012
The FSA’s insider trading case against David Einhorn and his fund, Greenlight Capital, highlights the differences in insider trading regulations between the U.S. and the U.K.  Many of the compliance ...

FINRA Suggests Changes to Fixed-Income Research Rules

01/30/2012
New York, NY – An article published last week in the Financial Times indicates that US financial regulators are planning to issue new rules in the next few weeks requiring ...
1 59 60 61 62 63 71