The authors analyze the impact of the Sarbanes-Oxley Act and SEC regulations regarding selective disclosure and insider trading. They also discuss recent cases and other important developments such as Rule 10b5-1 trading plans and a heightened regulatory focus on hedge funds. In addition, the book provides suggested guidelines for deterring insider trading by employees.
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Table of Contents
An Overview of Insider Trading
Private Rights of Action
Enforcement Remedies: ITSA, ITSFEA and Other Efforts by Congress to Sanction and Deter Insider Trading
Exchange Surveillance Systems: Important Elements of The System to Detect Insider Trading
PART TWO: CORPORATE COMPLIANCE PROGRAMS
Legal and Practical Importance of Compliance and Ethics Programs
Corporate Compliance Programs for Securities Issuers: Trading and Corporate Disclosure Issues
PART THREE: INSIDER TRADING AND ULTRA-MARTS
Ultra-Marts and Insider Trading: The Law
Chinese Walls and Other Measures Designed to Segregate Material, Nonpublic Information Within Ultra-Marts: The Legal Authority
Practical Measures Designed to Detect and Prevent Insider Trading Within Ultra-Marts
Table of Abbreviations