Regulatory Focus: Best Practices To Comply With Insider Trading Regulations

July 2011


Insider trading activity remains a high priority for the SEC and other regulatory authorities.
According to the SEC’s website, in 2010, 53 cases were brought by the Commission against
individuals and firms, which is a 43% increase from 2009. These cases have involved financial
professionals, hedge fund managers, corporate insiders, attorneys and even government


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