The SEC and Insider Trading: Is the Line of Acceptability Shifting?
| When |
Mar 08, 2011
from 06:30 PM to 08:00 PM |
|---|---|
| Where | 151 E. 25th St. (between Lex. and 3rd Aves.), Rm 750 |
| Contact Name | Matthew LePere |
| Contact Phone | 646-312-3231 |
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About the Program
In recent months, the SEC has moved forward in prosecuting a number of high-profile cases of insider trading. Some think this indicates a new aggressiveness on the part of the SEC, perhaps even a re-definition of what constitutes fraud in the sale and purchase of securities. Investment research networks where inside information may flow freely have become a focal point for the SEC in its investigation. Has the line of what constitutes 'acceptable investment research' moved? What is ‘inside information’? What kind of information gathering is permitted under the Securities Acts? Is the Investment Relations Officer the only one who should release corporate information? Our expert panel will discuss the new atmosphere on Wall Street and analyze the legal and investment implications of the recent SEC investigations and prosecutions. Investment professionals and students will gain valuable insights into the dynamics of the enforcement of the laws that regulate the everyday business of equities research and investing.
Schedule
6:00 pm - Registration
6:30 pm - Panel Begins
8:00 pm - Networking
Panelists
Moderated by LARRY ZICKLIN, Clinical Professor of Business Ethics, Stern School of Business
MELVIN BROSTERMAN, Partner, Stroock & Stroock & Lavan LLP
MARC SULAM, Portfolio Manager, Healy Circle Capital
LEIGH WAXMAN, General Counsel, Para Advisors LLC
Registration
Complimentary pre-registration is required to attend this program. Register online, by phone or e-mail:
- Complete and submit the online registration form
- Call us at 646-312-3231
-
or E-mail us at matthew.lepere@baruch.cuny.edu
