Securities Law Prof Blog

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

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Monday, July 13, 2009

SEC Releases Statement on Preventing Unfair Trading by Employees

The Securities and Exchange Commission released a Statement for the Record Before the House of Representatives Committee on Financial Services, Subcommittee on Oversight and Investigations, on July 13 in connection with the Subcommittee’s hearing entitled, “Preventing Unfair Trading by Government Officials.”  The SEC addressed efforts it has taken in response to an Inspector General Report finding deficiencies in the SEC's system for monitoring employees' stock trading.

http://lawprofessors.typepad.com/securities/2009/07/sec-releases-statement-on-preventing-unfair-trading-by-employees.html

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