Securities Enforcement Priorities Focusing on Insider Trading and New Rules

Join us at the BBA for a lunch program that will cover the SEC’s and DOJ’s continued focus on insider trading, tailored to reflect current trends, including novel legal theories (like shadow insider trading), areas of emphasis (such as 10b5-1 trading plans), and new rules (such as insider trading policy and procedures disclosure obligations).  The program will be led by two SEC Market Abuse Unit (the specialized investigative unit that focuses on insider trading) alumni—Caitlyn Campbell and Eric Forni—and will be joined by the SEC’s Boston Regional Office Regional Director (and former market abuse unit assistant director)—Silvestre Fontes—and the Chief of the Securities, Financial, and Cyber Fraud Unit, Stephen Frank. (4/4/2023)

Questions? Inquiries about program materials? Contact Alan I. Johnson at ajohnson@bostonbar.org