At the recent American Bar Association gathering, the SEC’s and the Department of Justice’s recent activities regarding insider trading were heavily discussed. 

During this conference, defense attorneys on the panel

Continue Reading SEC’s and DOJ’s Approach to Insider Trading and Attempting to Define Parameters

Reuters recently reported that the SEC and FINRA were asking trading firms specific details regarding their trading strategies and/or their secret computer codes. 

This new effort by the SEC and

Continue Reading Joint SEC and FINRA Probe Into Secret Trade Data and Algorithms

Recently, a bipartisan bill was introduced in the United States Senate that would require states to obtain the identity of persons who act behind corporations.  Essentially, this legislation would end

Continue Reading Potential Federal Legislation to Register Behind the Scenes Corporate Principals