MNPI
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Ex-CEO sentenced in first prosecution for stock sales via 10b5-1 trading plans
DOJ says he avoided $12.5m+ in losses by trading pursuant to two Rule 10b5-1 trading plans while allegedly in possession of MNPI.
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Negotiating the era of digital accountability
Why communication archiving, insider trading regulations and audit tech are effective guardrails for global financial markets amid times of volatility.
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SEC on a tear: Seven decisions, from FCPA scheming to MNPI reporting
Several SEC cases highlight its effort to clear its docket, plus remind firms of internal controls principles and registration and reporting basics.
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SEC announces enforcement results for fiscal year 2024
The SEC announced that it collected $8.2 billion in monetary penalties for FY 2024, the highest amount for the fines in the regulator’s history.
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SEC charges Richmond Federal Reserve supervisor with insider trading
The SEC said Thompson used material nonpublic information to trade in stock and options of at least two publicly-traded banks within his supervisory portfolio.
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DraftKings charged with selectively disclosing material info on social media
The firm fell foul of Regulation Fair Disclosure.
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BofA accused by whistleblower of sharing nonpublic information
The bank’s own policy mandates a cooling-off period of two-to-four weeks if bankers speak for any reason to investors that might participate in the deal.
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SEC cites Sound Point Capital Management for its handling of nonpublic info
The SEC said the fund adviser’s policies failed to consider the potential impact of material nonpublic information gained from serving as company lenders.