A private equity firm and registered investment adviser settled SEC charges for failing to implement policies to prevent the misuse of material non-public information.

The SEC reached separate settlement agreements with two of nine defendants charged with hacking into the SEC's online Electronic Data Gathering, Analysis and Retrieval system.

The SEC charged a regional vice president of a retail pharmacy chain with insider trading involving "market-moving" information.

The SEC filed a Complaint in U.S. District Court against a former executive of a manufacturing company for making illegal trades using material non-public information.

A jury in the U.S. District Court District of Massachusetts returned a verdict in favor of the SEC, finding that a Massachusetts trader made illegal trades using nonpublic information.

The U.S. District Court for the District of Connecticut entered a judgment against the former CEO of a payment systems company for insider trading.

An individual settled SEC charges for trading on material, nonpublic information concerning an upcoming tender offer for a medical supply company.

The SEC charged a former IT administrator for a cloud computing company and others with insider trading based on confidential information regarding the company's earnings results and financial performance.

Two individuals settled SEC charges for insider trading in a case concerning the merger of a medical device company.

A former U.S. Representative for New York's 27th Congressional District, his son and a third individual settled SEC charges for insider trading.

The House of Representatives passed a bill to strengthen the ban against insider trading.

A former portfolio manager at an investment firm settled SEC charges for executing illegal trades based on nonpublic information.

SEC leadership submitted testimony to the House Financial Services Committee on initiatives undertaken during the fiscal year.

CME issued fines and suspensions against two brokers and a futures brokerage firm for separate trade practice violations.

An individual settled SEC charges for conspiring to manipulate the price of certain issuer securities through false regulatory filings.

Cadwalader attorneys analyzed the U.S. District Court for the Southern District of New York order vacating the guilty plea of former investment portfolio analyst Richard Lee.

A subcommittee of the House Financial Services Committee held a hearing to consider six legislative proposals intended to "hold public company executives accountable to both investors and the general public."

A former employee of a biotechnology firm agreed to settle SEC charges for insider trading on confidential information.

The SEC charged a former senior attorney at Apple with insider trading.

House Financial Services Committee Chair Maxine Waters introduced a bill to require the SEC to conduct a study on the operation of Rule 10b5-1, which allows insiders of publicly traded corporations to set up a trading plan.

The SEC charged nine individuals for (i) hacking into the SEC's online EDGAR system to acquire material nonpublic documents and (ii) trading on that information.

The SEC charged an IT contractor and two of his family members with insider trading.

In a New York Times opinion piece, SEC Commissioner Robert J. Jackson Jr. and former U.S. attorney for Manhattan Preet Bharara stated that the SEC should use its authority to clarify insider trading law.

The CFTC filed charges against an introducing broker and an associated person for misusing material nonpublic information in connection with block trades of energy contracts.

A broker-dealer agreed to settle charges that it failed to maintain and enforce policies and procedures to prevent the disclosure of material nonpublic customer order information regarding the repurchase of shares by issuers.