Navigating the Regulatory Maze for Investment Advisors - Insider Trading : Registered Investment Advisor (RIA) Compliance Consultants

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Category Archives: Insider Trading

STOCK Act Gaining Support in Congress

The STOCK Act, a bill that is designed to restrict the ability of elected officials to make securities trades based on non-public inside information, is gaining support in Congress. The STOCK Act which stands for “Stop Trading on Congressional Knowledge” was originally authored by Rep. Louise Slaughter, a Democrat from New York. Under Rep. Slaughter’s [...]

Posted by Bryan Hill

Monday, November 21, 2011

Labels: Insider Trading, Personal Securities Transactions

SEC Initiates Charges for Insider Trading

The SEC today announced that it is charging the mayor of Beaufort, South Carolina with insider trading on non-public information he obtained while doing consulting work for a California biotechnology firm. According to the SEC, the individual was given information about new technology. The information was provided in confidence and had not been made publicly [...]

Posted by Bryan Hill

Thursday, July 17, 2008

Labels: Insider Trading, SEC

Investment Advisers Should Review Insider Trading Policies & Procedures

Although the recent report concerning possible insider trading by a public pension plan administrator conducted by the Division of Enforcement of the U.S. Securities and Exchange Commission (“SEC”) involves an essentially unregulated money manager which is not subject to the Investment Advisers Act of 1940, it still offers an excellent opportunity for each registered investment [...]

Posted by Bryan Hill

Saturday, March 8, 2008

Labels: Insider Trading, Pensions, SEC

SEC Charges 14 individuals for Insider Trading Scheme.

In a March 1 press release, the SEC announced that it is charging “14 defendants in a brazen insider trading scheme that netted more than $15 million in illegal trading profits on thousands of trades, using information stolen from UBS Securities, LLC and Morgan Stanley & Co., Inc. The SEC complaint alleges that eight Wall [...]

Posted by Bryan Hill

Monday, March 5, 2007

Labels: Enforcement, Insider Trading



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* RIA Compliance Consultants, Inc. ("RCC") is not a law firm and does not provide legal services. A compliance consulting relationship with RCC is not provided those legal and professional protections that normally exist under an attorney-client relationship. For more information, please visit our Disclosures webpage.

The determination to use a third-party compliance services provider is an important decision and should not be based solely upon advertisements or self-proclaimed expertise. A description or indication of limitation of our compliance services does not mean that an agency or board has certified RCC as a specialist or expert in investment advisor compliance. All potential clients are urged to make their own independent investigation and evaluation of RCC.

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