The SEC fined a broker-dealer and its former executive for disclosing confidential information in advance of block sales of securities.
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Before the United States District Court for the Southern District of New York, the SEC charged a broker-dealer for failing to protect its customers' trading information.
The effective date for SEC amendments to Exchange Act Rule 10b5-1 is February 27, 2023.
The SEC adopted amendments to Exchange Act Rule 10b5-1. The amendments will increase obligations for parties seeking the insider trading safe harbor provisions, including expanded disclosure requirements.
The SEC charged a global management consulting firm partner with trading on material nonpublic information taken from the firm and its clients.