Statutory framework for insider trading / Randall J. Fons -- Elements of insider trading / George C. Harris -- A brief history of insider trading law / Carl H. Loewenson, Jr. and Andreea Vasiliu -- Insider trading enforcement / Daniel A. Nathan -- Recent enforcement highlights / Lauren M. Gambier, Kiersten A. Fletcher, and Ruti Smithline -- Benefits of cooperation / Justin D. Hoogs, Justin D. Mayer, and Kayvan B. Sadeghi -- The Securities and Exchange Commission's shift to administrative proceedings / Kayvan B. Sadeghi and Justin D. Hoogs -- The perils of pillow talk / George C. Harris -- Broker-dealer and investment adviser violations, compliance and supervision / Daniel A. Nathan and Kelly A. Howes -- Whistleblower provisions / Randall J. Fons -- Compliance programs : how to prevent insider trading violations / Daniel A. Nathan -- Insider trading laws and employee stock compensation / Randall J. Fons and James J. Beha II.
This resource is supported by the Institute of Museum and Library Services under the provisions of the Library Services and Technology Act as administered by State Library of Iowa.