Insider Trading: 2nd Edition Book

INSIDER TRADING gives you a unique combination of problem-solving resources, including:A strong knowledge of the federal mandates that specify when insider trading liabilities are triggered - including "the five fingers of federal fraud": Section 10(b), Rule 10b-5, Rule 14e-3, Section 17(a), and federal mail and wire fraud statutes.An effective understanding of other weapons used to combat insider trading - including Section 16, Insider Trading and Securities Fraud Enforcement Act, Uniform Securities Act, Insider Trading Sanctions Act, Sarbanes-Oxley, and state blue sky laws.A solid grasp of pivotal court rulings that have shaped insider trading liability - including such key Supreme Court decisions as O'Hagan, Carpenter, Dirks, Chiarella, TSC Industries Inc., Basic Inc., Ernst and Ernst, Central Bank of Denver, Blue Chip Stamps, Affiliated Ute, Reliance Electric Co., and Neder.Compliance guidance for every entity open to exposure - including how to develop, implement, enforce, and monitor customized compliance measures that can detect and prevent illegalities, whether you're part of a broker-dealer firm, public company, financial intermediary, or law or accounting firm.Proven ways of eliminating or reducing liability - by deploying powerful defenses to government and private actions, exploiting legal exemptions and statutes of limitations, and documenting good-faith compliance efforts.INSIDER TRADING shows you how the government has closed loopholes to increase insider trading liability - alerts you to SEC, Congressional, and judicial trends that signal greater legal peril for corporate players - guides you effectively in those murky legal areas where the government has failed to offer direction - and offers a treasury of useful resources -- including graphics that clarify legal boundaries, texts of major rules, and citations to thousands of laws, regulations, court rulings, and insider trading articles and treatises.