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Category: Rules & Regs

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Execs’ 10b5-1 Plans Reportedly at Heart of Silicon Valley Bank Investigation

Shadow on a wall of a person with a flashlight who is investigating

What did Silicon Valley Bank executives know, and when did they know it? Ever since the financial institution of choice for venture capital-backed startups went bust on March 10, talk in the media and around Washington has focused on the po...

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Revived SEC Admissions Policy Fizzled in First Year

An antacid tablet fizzles in the bottom of a glass of water

You could be forgiven if you don’t recall an announcement made by a Securities and Exchange Commission official in 2021. A killer virus spreading around the world, a war in Europe, an attempted insurrection in Washington – there has been a...

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Feds Issue First Indictment Related to 10b5-1 Plans

Railway signals in the middle of railroad tracks, symbolizing insider trading

After months of signaling a crackdown was coming, the federal government has broken new ground by issuing its first indictment against an executive, based solely on the use of so-called 10b5-1 plans. A quick refresher: Rule 10b5-1 of the Se...

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Securities Class Action Settlements Hit 15-Year High in 2022

Businessman staring at an image painted on a wall of a large fish about to eat a smaller fish

Securities class action lawyers appear to have had a banner year in 2022, according to a new report. Data from economic and financial consulting firm Cornerstone Research indicates that settlements in securities class action cases hit a 15-...

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Ripple Case Headlines Latest Developments in Crypto Regulation

Circular ripples from a drop of water in a pool

An impending court decision in the Securities and Exchange Commission’s lawsuit against San Francisco-based crypto solutions company, Ripple, stands to make a big splash in the cryptocurrency sector. The SEC filed its legal action against R...

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