Ferrara on Insider Trading and The Wall

By Ralph C. Ferrara, Donna M. Nagy and Herbert Thomas
Publisher: ALM
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ISBN: 9781588520692
Publisher: ALM
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This valuable book discusses the evolution of the law of insider trading and explores ways in which corporations can use compliance programs to deter wrongdoing, with particular attention to multi-service financial institutions. Ferrara on Insider Trading and The Wall demonstrates how such firms can implement "Chinese Walls" and other procedural devices to prevent employees who acquire material nonpublic information from sharing it with employees who trade securities.

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


CHAPTER 1

An Overview of Insider Trading



CHAPTER 2

Government Actions



CHAPTER 3

Private Rights of Action



CHAPTER 4

Enforcement Remedies: ITSA, ITSFEA and Other Efforts by Congress to Sanction and Deter Insider Trading



CHAPTER 5

Exchange Surveillance Systems: Important Elements of The System to Detect Insider Trading



PART TWO: CORPORATE COMPLIANCE PROGRAMS



CHAPTER 6

Legal and Practical Importance of Compliance and Ethics Programs



CHAPTER 7

Corporate Compliance Programs for Securities Issuers: Trading and Corporate Disclosure Issues



PART THREE: INSIDER TRADING AND ULTRA-MARTS



CHAPTER 8

Ultra-Marts and Insider Trading: The Law



CHAPTER 9

Chinese Walls and Other Measures Designed to Segregate Material, Nonpublic Information Within Ultra-Marts: The Legal Authority



CHAPTER 10

Practical Measures Designed to Detect and Prevent Insider Trading Within Ultra-Marts



Appendices

Table of Abbreviations

Index