July 6, 2024
Property and Financial Crimes

How Does the SEC Catch Those Engaged in Illegal Insider Trading?



Okay, so just how closely is the SEC – and other regulators – paying attention to who is trading what? In other words, how many people are trading on material nonpublic information and not getting caught?

The answer is “we don’t know.” The SEC brings anywhere between a range of 30 to 60 actions based on insider trading allegations every year. That doesn’t seem like a lot.

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#insidertrading #insidertradingtraining #insidertradingcompliance #compliance #finra #finrachronologyletter #SECEnforcement #zippypoint

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