Securities Law Prof Blog

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

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Thursday, September 27, 2012

SEC Staff Reports on Brokerage Firms' Handling of Confidential Information

The SEC issued a staff report intended to help broker-dealers safeguard confidential information from misuse, such as insider trading. The report by the Office of Compliance Inspections and Examinations (OCIE) describes strengths and weaknesses identified in examinations into how broker-dealers keep material nonpublic information from being misused. (Download Informationbarriers[1])

http://lawprofessors.typepad.com/securities/2012/09/sec-staff-reports-on-brokerage-firms-handling-of-confidential-information.html

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