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Securities Litigation and Enforcement: Insider Trading

This guide presents an overview of securities litigation and enforcement including class actions, insider trading and resources for current topics

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Journal Articles

THE IMPORTANCE OF “THE LAW OF CONSERVATION OF SECURITIES”: A REPLY TO JOHN P. ANDERSON’S “WHAT’S THE HARM IN ISSUER-LICENSED INSIDER TRADING?” 69 U. Miami L. Rev. 811

INSIDER TRADING: AN ECONOMIC AND LEGAL PROBLEM,  1 Gonz. J. Int’l L. 2

U.S. Insider Trading Law Enforcement: Issues and Survey of SEC Actions from 2009 to 2013, 11 Nat’l Taiwan U. L. Rev. 37

Securities Markets--A Place to Get Rich Quick or a Quicksand Going Straight to Jail? The “Mens Rea” Required for Insider Trading Criminal Liability, 5 Nat’l Taiwan U. L. Rev. 1

INSIDER TRADING AND UNITED STATES V. O’HAGAN: THE SUPREME COURT REINSTATES SECURITIES FRAUD CONVICTIONS BASED ON THE MISAPPROPRIATION THEORY, 1 Chap. L. Rev. 119

BUSINESS AND FRIENDSHIP DON’T MIX: THE GOVERNMENT’S EXPANSION OF INSIDER TRADING LIABILITY UNDER SEC RULE 10B5-2, 65 Syracuse L. Rev. 579

POLITICAL, REGULATORY, AND LEGAL PROBLEMS: FOCUSING ON THE SECURITIES BANKING FENCE ISSUE, INSIDER TRADING, AND THE DISCLOSURE SYSTEMS, 14 Hastings Int’l & Comp. L. Rev. 309

A REDUNDANCY OF REMEDIES: INSIDER TRADING AND UNITED STATES V. O’HAGAN, A COMPARISON OF SECTIONS 10(B) AND 14(E) OF THE SECURITIES EXCHANGE ACT OF 1934 UNDER THE MISAPPROPRIATION THEORY, 53 U. Miami L. Rev. 169

SEC v. PETERS : STABILIZING THE REGULATION OF TENDER OFFER INSIDER TRADING WITHOUT A FIDUCIARY DUTY, 71 Denv. U. L. Rev. 783

IMPACT OF INVESTOR MEETINGS/PRESENTATIONS ON SHARE PRICES, INSIDER TRADING AND SECURITIES REGULATION, 23 Int’l Rev. L. & Econ. 227

INSIDER TRADING BY FRIENDS AND FAMILY: WHEN THE SEC ALLEGES TIPPING, 2011-AUG Bus. L. Today 1

KEEPING CURRENT: SEC CHARGES BROKER-DEALER FOR FAILURE TO PROTECT AGAINST INSIDER TRADING BY EMPLOYEES, 2014-OCT Bus. L. Today 1

UNDERSTANDING THE SECURITIES LAWS BY LARRY SODERQUIST, 43 Bus. Law. 1147

INSIDER TRADING COMPLIANCE PROGRAMS IN SEC CROSSHAIRS, 17-AUG Bus. L. Today 64

CORPORATIONS—SECURITIES—INSIDER TRADING—LIABILITY OF PARTNERSHIP AND INSIDER-PARTNER UNDER SECTION 16(B) OF SECURITIES EXCHANGE ACT. BLAU V. LEHMAN, 368 U.S. 403 (1962), 41 Tex. L. Rev. 448

INSIDER TRADING EXEMPT AS ARBITRAGE FROM § 16(B) OF SECURITIES EXCHANGE ACT, 54 Colum. L. Rev. 425

SEC v. BAUER: IF THE GLOVE FITS, IT’S INSIDER TRADING, 63 Cath. U. L. Rev. 1075

PRIVATE RIGHTS OF ACTION UNDER THE MISAPPROPRIATION THEORY: THE INSIDER TRADING AND SECURITIES FRAUD ENFORCEMENT ACT OF 1988, 21 Mem. St. U. L. Rev. 333

SECURITIES—INSIDER TRADING—IN PARI DELICTO DEFENSE INAPPLICABLE IN RULE 10B-5 ACTIONS—BATEMAN EICHLER, HILL RICHARDS, INC. v. BERNER, 105 S.CT. 2622 (1985), 17 Seton Hall L. Rev. 148

SECURITIES LAW -A FRESH LOOK AT COMBATTING INSIDER TRADING : LITTON INDUSTRIES V. LEHMAN BROTHERS KUHN LOEB, INC., 18 J. Corp. L. 791

REGULATION FD OF THE SEC’S SELECTIVE DISCLOSURE AND INSIDER TRADING RULE: FINALLY, FULL AND FAIR DISCLOSURES, 53 Admin. L. Rev. 1353

SECURITIES LAW--FIRST CIRCUIT LIMITS SCOPE OF “SAFE HARBOR” DISCLOSURE LOOPHOLE UNDER MISAPPROPRIATION THEORY OF INSIDER TRADING--SEC V. ROCKLAGE, 470 F.3D 1 (1ST CIR. 2006), 41 Suffolk U. L. Rev. 435

ABANDONING THE ‘MOSAIC THEORY’: WHY THE ‘MOSAIC THEORY’ OF SECURITIES ANALYSIS CONSTITUTES ILLEGAL INSIDER TRADING AND WHAT TO DO ABOUT IT, 46 Wash. U. J.L. & Pol’y 281

RISKS AND HEDGES OF PROVIDING LIQUIDITY IN COMPLEX SECURITIES: THE IMPACT OF INSIDER TRADING ON OPTIONS MARKET MAKERS, 15 Fordham J. Corp. & Fin. L. 387

PANEL: THE SEC’S PERSPECTIVE, 2013 Colum. Bus. L. Rev. 519

LAW FIRM LIABILITY UNDER THE INSIDER TRADING AND SECURITIES FRAUD ENFORCEMENT ACT OF 1988, 63-OCT Fla. B.J. 46

SECURITIES—INSIDER TRADING—THE PERSONAL GAIN TEST: THE SUPREME COURT CREATES A BRIDGE BETWEEN CHIARELLA AND FRAUDULENT ‘OUTSIDER TRADING’—DIRKS v. SECURITIES & EXCHANGE COMMISSION, 103 S.CT. 3255 (1983), 14 Seton Hall L. Rev. 715

THE DISGORGEMENT DILEMMA: WHO GETS THE MONEY RECOVERED BY THE SEC IN INSIDER TRADING CASES?  35 Fed. B. News & J. 192

EXAMINING THE MERITS OF DUAL REGULATION FOR SINGLE-STOCK FUTURES: HOW THE DIVERGENT INSIDER TRADING REGIMES FOR FEDERAL FUTURES AND SECURITIES MARKETS DEMONSTRATE THE NECESSITY FOR (AND VIRTUAL INEVITABILITY OF) DUAL CFTC-SEC REGULATION FOR SINGLE-STOCK FUTURES, 3 Pierce L. Rev. 33

CLEANING UP THE SECURITIES MARKETS: HAVE INSIDER TRADING PROSECUTIONS GONE TOO FAR? UNITED STATES v. CARPENTER, [NEW DEVELOPMENTS] FED. Sec. L. Rep. (CCH) p 92,742 (2d Cir. May 27, 1986), 16 Stetson L. Rev. 537

WEEDING OUT A NEW THEORY OF INSIDER TRADING LIABILITY AND CULTIVATING AN HEIRLOOM VARIETY: A PROPOSED RESPONSE TO SEC V. DOROZHKO, 19 Geo. Mason L. Rev. 593

THE WAR ON INSIDER TRADING: IS FIGHTING OVER “OFFICER”’ A LOSING BATTLE?  55 Mo. L. Rev. 297

Treatises