FINRA Settlement Affirms the Importance and Enforcement of Insider Trading Policies
Tue 27 Apr, 2021 / by C. Dirk Peterson / Client Alerts
DOWNLOAD PDF A recent FINRA settlement should remind firms of the protective benefits of developing and enforcing robust insider trading policies and procedures [ FINRA Letter of Acceptance, Waiver, and Consent No. 2020067348501 (April 6, 2021)]. Among other things, the federal securities laws expressly require securities and investment advisory firms […]