Source: http://www.lawcatalog.com/ProductDetail/15156/Ferrara-on-Insider-Trading-and-The-Wall
Timestamp: 2018-10-21 00:37:27
Document Index: 732673121

Matched Legal Cases: ['§2', '§2', '§2', '§2', '§2', '§2', '§3', '§3', '§3', '§4', '§4', '§4', '§4', '§4', '§5', '§5', '§5', '§6', '§6', '§6', '§7', '§7', '§7', '§7', '§7', '§8', '§8', '§9', '§9', '§9', '§9', '§9', '§10', '§10', '§10', '§10']

Print + Online + eBook $768.00 eBook + Online $723.00
ISBN: 978-1-58852-069-2
Pub#/SKU#: 632
[6] Types of Investment Instruments Subject to the Federal Prohibition
§2.02 The Historical Development of Liability for Insider Trading
[7] Trading Based on Deceptively Acquired Information
§2.03 Criminal Statutes Beyond the Federal Securities Laws
[3] The Crime of Conspiracy
§2.04 Rule 14e-3
[4] Additional Issues Involving Rule 14e-3 Liability
§2.05 RICO
[2] Legal Requirements
§2.06 The Scandal On Wall Street
[4] The Milken Case
§2.07 From Wall Street to Main Street and Back
[2] The Use of “Information Consultants”
[3] Hedge Funds as Corporate Lenders
[6] Heightened Pleading Requirements
§3.03 Implied Private Rights of Action Under Rule 10b-5
[7] Actions by Corporations
§3.04 Implied Private Actions Under Rule 14e-3
[2] “Short Swing” Profits
§3.06 Insider Trading During Pension Fund Blackout Periods
[3] Administrative Relief
[4] Monetary Penalties
[6] SEC Enforcement Statistics
§4.02 Criminal Remedies for Insider Trading
[1] Criminal Provisions in the Exchange Act and Securities Act
[3] The Federal Sentencing Guidelines
§4.03 Affirmative Defenses to Enforcement Actions and Prosecutions
[1] Statutes of Limitations
[3] Double Jeopardy
§4.04 Additional Provisions in ITSA and ITSFEA
[1] Insider Trading in Options
[2] Bounties Authorized by Section 21A(e)
[3] Section 20A’s Private Right of Action
[4] Supervisory Requirements for Broker-Dealers and Registered Investment Advisers
§4.05 To Define (or Not to Define) Insider Trading
[4] Proposals to Statutorily Define Insider Trading
§4.06 The Stop Trading on Congressional Knowledge Act (STOCK Act)
[3] Cooperative Computer Surveillance Systems
§5.02 SRO Surveillance Systems
[3] SRO Agreement Allocating Responsibility for Insider Trading Surveillance, Investigation and Enforcement
§5.03 Limitations Inherent in Computer Surveillance
§5.04 Global Efforts to Combat Illegal Insider Trading
[2] The Hallmarks of an Effective Compliance and Ethics Program
§6.02 Controlling Person Liability and Respondeat Superior
[1] Controlling Person Liability Under Section 20(a)
[2] Liability for Civil Penalty Under Section 21A
[4] Compliance and Ethics Programs as a Defense to Secondary Liability
§6.03 Insider Trading Compliance Programs Mandated by Federal Securities Law
[3] Investment Advisers to Hedge Funds
§6.04 Public Pension Funds
[2] Other Appropriate Procedures for Trading by Corporate Insiders in the Issuer’s Securities
§7.03 Disclosure Requirements Imposed on Issuers by Self-Regulatory Organizations
[3] SRO Enforcement of Disclosure Requirements
§7.04 Mandatory Disclosure Under the Federal Securities Laws
[3] Real Time Disclosure
§7.05 Section 10(b) and Rule 10b-5
[3] The Practical Implications of Corporate Disclosure Responsibilities
§7.06 Projections, Forecasts, and Other Forward-Looking Statements
[3] Statutory Safe Harbor for Forward-Looking Information
§7.07 Insider Trading and Heightened Pleading Requirements
INSIDER TRADING AND ULTRA-MARTS
[3] Conflicts Manifest
§8.03 Attribution of Knowledge Within Ultra-Marts in Establishing Securities Law Violations
[2] The Entity Defense in Rule 10b5-1
§8.04 Contexts for Insider Trading Violations Within Ultra-Marts
[2] The Slade Case
§9.03 Codification in SEC Rules
[5] Trading Ahead of Research Reports
§9.04 Statutory Codification
[3] The Sarbanes-Oxley Act of 2002 and Analysts’ Conflicts of Interest
§9.05 Examples of SEC Reliance on Chinese Walls in Settlement Proceedings
[2] The Kidder, Peabody Case
§9.06 Extension of Chinese Walls to Other Contexts
[4] Law Firms
§9.07 Chinese Walls Designed to Reduce the Conflicts Facing Securities Analysts
[4] A Case Study in Information Control: A Law Firm’s Policies and Procedures
§10.03 Watch Lists
§10.04 Restricted Lists
[3] Practical Problems
§10.05 Rumor Lists
[3] Trading Restrictions for Investment Adviser Personnel
§10.07 Conclusion