Insider Trading: Regulation, Enforcement, and Prevention (Vols. 18 and 18A, Securities Law Series)

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Use Insider Trading: Regulation, Enforcement, and Prevention to determine which activities constitute insider trading and what the consequences are. Topics discussed include:

• The source of the prohibition against insider trading

• The evolution of the law

• The abstain or disclose obligation of corporate insiders

• Tipper and tippee liability

• Material nonpublic information

• The misappropriation theory

• Trading on information regarding a tender offer

• The gray areas of insider trading liability

The appendix includes practical information such as typical questions and suggested answers regarding insider trading by officers, directors, and employees.

Summary of contents
Replacement pages

Volume 18
Chapter
1. The Nature and Source of the Prohinition Against Insider Trading
2. Development of the Law of Insider Trading
3. The Abstain or Disclose Obligation: Corporate Insiders
4. Tipper and Tipee Liability
5. Material Non-Public Information
6. Misappropriation Theory
7. Trading While in Posession of Information Relating to a Tender Offer
8. Governmental Enforcement of the Insider Trading Prohibition
9. Private Rights of Action
10. Recovery by the Issuer: Section 16 (b) and State Corporation Law
11. The "Gray Areas" of Insider Liability: Investment Analysts, News Reporters, Stockbrokers, and Friends and Relatives of Corporate Insiders
12. Institutional Liability for Insider Trading
13. The History of Codification Efforts for insider Trading Law
14. Regulation of Insider Trading in an Internationalized Securities Marketplace.
Volume 18A
Appendix
1. Excerpts from Legislative History of the Insider Trading Sanctions Act 1984
2. Report of the Securities and Exchange Commission to the House Committee on Energy and Commerce on Dirks v. Securities and Exchange Commission, August 12, 1985
3. Report of the Special Committee on Law Firm Policies Relating to Confidentiality and Safeguarding Inside Information, Business Corporations Law Section, Los Angeles County Bar Association, March 21, 1985
4. Letter to the Securities and Exchange Commission Proposing new Insider Trading Legislation, November 21, 1985.
5. Excerpts from the Legislative History of the Insider Trading and Securities Fraud Enforcement Act of 1988
6. Sample Corporate Policy for Officers, Directors and Employees Regarding Insider Trading
7. Typical Questions (And Suggested Answers) Regarding Insider Trading by Corporate Officers, Directors and Employees
8. Broker Dealer Polices and Procedures Designed to Segment the Flow and Prevent Misuse of the Material Non-Public Information
9. Ownership Reports and Trading by Officers, Directors and Principal Security Holders
10. Law Firm Policies Regarding Insider Trading and Confidentiality
11. Significant SEC Enforcement Activities Involving Insider Trading
12. Broker-Dealer Internal Control Procedures for High Yield Securities
13. Excerpts from Report of the SEC"s Division of Investment Management on the Personal Trading Activities of Investment Company Personnel (Sept. 1994)
14. Statement of Conference Managers: Private Securities Litigation Reform Act, 1995
15. Ownership Reports and Trading by Officers, Directors and Principal Security Holders
16. SEC Proposed Rules Dealing with Selective Disclosure and Insider Trading Definitional Issues (DEC. 1999)
17. Selective Disclosure and Insider Trading File No. S7-31-99
18. Division of Corporation and Finance: Manual of Publicly Available Telephone Interpretations
19. Special Study: Regulation of Fair Disclosure Revisited
20. SEC Final Rules Dealing with Insider Trades During Pension Fund Blackout Periods (Jan. 2003)
21. European Union Directive on Insider Dealing and Market Abuse
- Table of Cases
- Index

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