Defining Material Nonpublic
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Defining Material Nonpublic
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Author : Cindy A. Schipani
language : en
Publisher:
Release Date : 2015
Defining Material Nonpublic written by Cindy A. Schipani and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 2015 with categories.
The statutory penalties for illegal insider trading have become almost as severe as first-degree murder, yet we see insiders make tens of thousands of lucrative transactions every year. Moreover, the increase in penalties over time has done little to slow down insider trading. We argue that the resolution of their paradox lies in understanding the concept of material, non-public information. As long as there is no clear definition of what is illegal under the statutes, insiders and tippees will continue to trade profitably, with little to fear from seemingly draconian sanctions. To prevent further abuse of insiders' informational privileges, we offer a new evidentiary presumption. We propose that the a prima facie case for illegality be found upon proof that: 1) the information giving rise to the trade is of the type that requires an 8-K filing by the corporation; 2) upon announcement, it must lead to statistically significant abnormal stock returns; and 3) the insider trading must have occurred within two months prior to the announcement of the information. Of course, our presumption does not cover all possible instances of insider trading and it is not intended to be comprehensive. For instance, insiders may trade on material, nonpublic information and yet, they may still end up losing money due to unexpected circumstances. Insiders may also exploit long-lived information beyond two months. Our objective is to provide a prima facie presumption of what is always considered material, nonpublic information, similar to Rule 14e-3, which has declared takeover-related information to be always material and nonpublic. We expect that other types of trading will still fall in a grey area and will need to be resolved through a fact-finding process. Yet, we expect additional clarity will allow all insiders who want to be on the safe side of the law the ability to ensure that their transactions do not meet any of the conditions set forth above.
Securities And Exchange Commission Proposed Legislation
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Author :
language : en
Publisher:
Release Date : 1987
Securities And Exchange Commission Proposed Legislation written by and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 1987 with Insider trading in securities categories.
Trading On Inside Information
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Author :
language : en
Publisher:
Release Date : 1984
Trading On Inside Information written by and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 1984 with Actions and defenses categories.
Definition Of Insider Trading
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Author : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities
language : en
Publisher:
Release Date : 1987
Definition Of Insider Trading written by United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 1987 with Insider trading in securities categories.
United States Code
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Author : United States
language : en
Publisher:
Release Date : 1995
United States Code written by United States and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 1995 with Law categories.
The Regulation Of Hedge Funds
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Author : Ana Maria Fagetan
language : en
Publisher: Springer Nature
Release Date : 2020-12-28
The Regulation Of Hedge Funds written by Ana Maria Fagetan and has been published by Springer Nature this book supported file pdf, txt, epub, kindle and other format this book has been release on 2020-12-28 with Business & Economics categories.
This book analyses elements of international finance, comparing the regulation of hedge funds in United States, Europe, the UK, and off-shore jurisdictions in the aftermath of the financial crisis. It critically compares the Dodd- Frank Act in US with the Alternative Investment Funds Managers Directive in Europe. Moreover, it goes further by analyzing the implementation of the AIFM Directive in seven jurisdictions in Europe famous for the incorporation of hedge funds: the United Kingdom, Italy, France, Ireland, Malta, Luxembourg, and Switzerland. The book also analyses the effect of Brexit on the legislation in the UK regarding the application of the directive and the distribution of financial products in Continental Europe, and will be of particular interest to researchers, academics, and students of international finance and financial regulation.
International Financial Market And Insider Trading
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Author : Marc I. Steinberg
language : en
Publisher:
Release Date : 2001
International Financial Market And Insider Trading written by Marc I. Steinberg and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 2001 with Disclosure of information categories.
Pitch The Perfect Investment
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Author : Paul D. Sonkin
language : en
Publisher: John Wiley & Sons
Release Date : 2017-09-12
Pitch The Perfect Investment written by Paul D. Sonkin and has been published by John Wiley & Sons this book supported file pdf, txt, epub, kindle and other format this book has been release on 2017-09-12 with Business & Economics categories.
Learn the overlooked skill that is essential to Wall Street success Pitch the Perfect Investment combines investment analysis with persuasion and sales to teach you the "soft skill" so crucial to success in the financial markets. Written by the leading authorities in investment pitching, this book shows you how to develop and exploit the essential, career-advancing skill of pitching value-creating ideas to win over clients and investors. You'll gain world-class insight into search strategy, data collection and research, securities analysis, and risk assessment and management to help you uncover the perfect opportunity; you'll then strengthen your critical thinking skills and draw on psychology, argumentation, and informal logic to craft the perfect pitch to showcase your perfect idea. The ability to effectively pitch an investment is essential to securing a job on Wall Street, where it immediately becomes a fundamental part of day-to-day business. This book gives you in-depth training along with access to complete online ancillaries and case studies so you can master the little skill that makes a big difference. It doesn't matter how great your investment ideas are if you can't convince anyone to actually invest. Ideas must come to fruition to be truly great, and this book gives you the tools and understanding you need to get it done. Persuade potential investors, clients, executives, and employers Source, analyze, value, and pitch your ideas for stocks and acquisitions Get hired, make money, expand your company, and win business Craft the perfect investment into the perfect pitch Money managers, analysts, bankers, executives, salespeople, students, and individual investors alike stand to gain massively by employing the techniques discussed here. If you're serious about success and ready to start moving up, Pitch the Perfect Investment shows you how to make it happen.
Sec Docket
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Author : United States. Securities and Exchange Commission
language : en
Publisher:
Release Date : 1999
Sec Docket written by United States. Securities and Exchange Commission and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 1999 with Securities categories.
Federal Register
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Author :
language : en
Publisher:
Release Date : 1992-04-15
Federal Register written by and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 1992-04-15 with Administrative law categories.