In the Crosshairs: The Department of Justice and the SEC Focus on Insider Trading

In the Crosshairs: The Department of Justice and the SEC Focus on Insider Trading

Event Date(s): 06/12/2014

A former federal prosecutor and former SEC trial enforcement attorney will examine the federal government’s ongoing campaign against insider trading and securities fraud, and the risks presented to securities industry professionals. Based on actual insider trading cases they handled, Steven Feldman and Howard Elisofon will discuss techniques used by law enforcement to build its cases and ensnare individuals. They will provide an overview of the insider trading laws, along with examples of conduct that constitutes insider trading and examples of acceptable trading conduct. Feldman and Elisofon will suggest “best practices” to avoid liability, and examine gray areas that could lead to increased scrutiny.

Attend to gain a better understanding of the risks of engaging in insider trading in today’s environment and a greater sensitivity to conduct that might fall within a gray area and attract the attention of law enforcement.

Event Link: http://www.nyssa.org/programs/upcomingprograms/ctl/viewdetail/mid/1169/itemid/2029/d/20140612.aspx