Changes Coming to Rule 10b5-1
The Securities Act of 1933 (“Securities Act”) strives to allow properly informed investors to safely…
Browsing: SEC
Cryptocurrency ICO Issuers on Notice After SEC Seminal DAO Report
In 2018, the Securities and Exchange Commission (“SEC”) significantly cracked down on unregistered Initial Coin…
SEC Disclosures: Balancing Investor Rights With Privacy Rights
Due to the recent #MeToo Movement, companies face increasing public pressure to address and prevent…
Mind the Gap(s): Solutions for Defining Tipper-Tippee Liability and the Personal Benefit Test Post-Salman v. United States
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What Would We Do Without Them: Whistleblowers in the Era of Sarbanes-Oxley and Dodd-Frank
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The Prevalence and Consequences of Internal Fraud
The Association for Certified Fraud Examiners (“ACFE”) conducted a global fraud study, which investigated 2,410…
Will GE Bow Out of the Dow and Should We Care?
General Electric (“GE”) has had a rough couple of months. GE started 2018 as “the…
Mutual Funds: A Better Alternative than Hedge Funds for Individual Investors?
Participating in hedge funds as an alternative investment vehicle became increasingly popular after the 2008…
The Effects of Consolidated Audit Trails on Broker-Dealers
Established by the Securities Exchange Act of 1934 (“The Act”), the Securities Exchange Commission (“SEC”)…
A Novel Approach to Defining “Whistleblower” in Dodd-Frank
ABSTRACT Following the Financial Crisis of 2008, trust in the financial industry was at an…