Securities Law Prof Blog

Editor: Eric C. Chaffee
Univ. of Toledo College of Law

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Monday, November 12, 2007

SEC Enforcement Actions Up Over Last Year

Increases in misleading corporate disclosure (including discloses related to backdated stock options) and insider trading cases have resulted in the SEC's filing 14% more enforcement actions than in 2006.  The agency has brought 656 cases through Sept. 30, nearly 100 more than in 2006.  In the insider-trading area, the SEC is focusing on "pillow-talk" exchanges of confidential corporate information by family members and Rule 10b5-1 plans that allow executives to sell shares automatically at pre-arranged time periods.  CFO.com, SEC Enforcement Actions Shoot up.

http://lawprofessors.typepad.com/securities/2007/11/sec-enforcement.html

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