Insider Trading: Law and Developments

Insider Trading: Law and Developments

by American Bar Association


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Insider Trading, a collaboration by Morrison & Foerster LLP attorneys, provides timely, expert analysis of recent developments and emerging trends in insider trading enforcement. This single-volume treatise, intended for white collar defense practitioners as well as experts in the field, provides a comprehensive overview of the complex legal landscape of insider trading. Subjects covered in the book include:

• History of the development of insider trading law, including the statutory framework for insider trading and major case law on the subject;• Analysis of the costs and benefits of cooperating with investigations, including federal criminal sentencing data for all insider trading cases from 2010 to 2016;• Highlights of recent prominent insider trading prosecutions and SEC enforcement actions; • The “Perils of Pillow Talk” – insider trading investigations and prosecutions involving spouses, fiancees;• Analysis of the Supreme Court’s recent insider trading decision, Salman v. United States,and the Second Circuit’s decision in United States v. Newman; and• Compliance tools and guidance for preventing insider trading.

Product Details

ISBN-13: 9781634256940
Publisher: American Bar Association
Publication date: 03/07/2018
Pages: 216
Product dimensions: 5.90(w) x 8.90(h) x 0.70(d)

About the Author

Carl (Chip) Loewenson, Jr. is a partner in the Securities Litigation, Enforcement, and White Collar
Defense Practice group at Morrison & Foerster LLP in New York. He previously worked in the United
States Attorney’s Office for the Southern District of New York, where he was a member of the Securities & Commodities Fraud Task Force. A graduate of Princeton University and Yale Law School, Mr. Loewenson clerked for the Hon. Frank M. Coffin on the U.S. Court of Appeals for the First Circuit.

Ruti Smithline is a partner in the Securities Litigation, Enforcement, and White-Collar Criminal Defense Group at Morrison & Foerster LLP. She represents corporate and individual clients in complex litigation matters, with an emphasis on white-collar criminal defense, SEC enforcement, and corporate internal investigations. Ruti received her J.D. from The George Washington University School of Law, where she graduated with honors and as a member of the Order of the Coif. She received her B.A. degree, cum laude, from Cornell University.

Table of Contents

CHAPTER 1: Statutory Framework for Insider Trading Randall J. Fons 1CHAPTER 2: Elements of Insider Trading George C. Harris 11CHAPTER 3: A Brief History of Insider Trading Law Carl H. Loewenson, Jr. and Andreea Vasiliu 23CHAPTER 4: Insider Trading Enforcement Daniel A. Nathan 39CHAPTER 5: Recent Enforcement Highlights Lauren M. Gambier, Kiersten A. Fletcher, and Ruti Smithline 57CHAPTER 6: Benefits of Cooperation Justin D. Hoogs, Justin D. Mayer, and Kayvan B. Sadeghi 105 CHAPTER 7: The Securities and Exchange Commission’s Shift to Administrative Proceedings 133
CHAPTER 8: The Perils of Pillow Talk George C. Harris 149

CHAPTER 9: Broker-Dealer and Investment Adviser Violations, Compliance, and Supervision Daniel A. Nathan and Kelly A. Howes 157 CHAPTER 10: Whistleblower Provisions Randall J. Fons 167 CHAPTER 11: Compliance Programs: How to Prevent Insider Trading Violations Daniel A. Nathan 173 CHAPTER 12: Insider Trading Laws and Employee Stock Compensation Randall J. Fons and James J. Beha II 185 INDEX 195

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