Tag Archives: Trading

Activist Shareholders Trading on the Blockchain: Is the Prized Secrecy Compromised?

Background: Registered Shareholders and Beneficial Shareholders While a registered shareholder holds its shares directly with a company and can be contacted through its transfer agent, a beneficial shareholder does not have the shares registered in its name. Instead, a securities … Continue reading

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Alternative Trading Systems and Crypto: What Does it Mean?

If you were anywhere in or around the crypto-sphere in 2017 you might have been wondering what in the world was going on. Securities, re-branded as tokens, were being sold to anyone that knew how to spend cryptocurrency in unregistered … Continue reading

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Winship on Insider Trading

Verity Winship has posted Disgorgement in Insider Trading Cases: FY2005-FY2015 on SSRN with the following abstract: For about 50 years – at least since Texas Gulf Sulphur – the SEC has ordered defendants to disgorge their profits from transactions that… … Continue reading

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Goldman’s Gains in Trading Raise a Familiar Dilemma: DealBook Briefing

Goldman’s results got a significant fillip from trading, a business the bank must do well in, but not so well that investors think it is too dependent on it. Read more detail on Recent Business Law posts –

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Does United States v. Ying Expand the Knowledge Requirement for “Classical” Insider Trading?

On March 14, 2018, the SEC and DOJ sued Jun Ying, a former Chief Information Officer within an Equifax Inc. business unit, for insider trading. Specifically, they accused him of knowing about a significant Equifax data breach prior to its … Continue reading

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