Abstract

http://ssrn.com/abstract=981638
 
 

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Insider Trading (PLI 2d ed. 2006)


William K. S. Wang


University of California, Hastings College of the Law

Marc I. Steinberg


Southern Methodist University - Dedman School of Law


INSIDER TRADING, PLI Publisher, Second Edition, 2006

Abstract:     
This paper is the Introductory chapter to Insider Trading (PLI 2d ed. 2006). Insider Trading is a two-volume treatise that analyzes the application of various laws to stock market insider trading and tipping. Among the federal laws are Exchange Act section 10(b), SEC rule 10b-5, mail/wire fraud, SEC rule 14e-3, Exchange Act section 16, and Securities Act section 17(a). The state laws discussed are the common law, the Uniform Securities Act, and the California and New York securities statutes.

Another chapter addresses government enforcement of the insider trading/tipping prohibitions. A chapter on compliance programs deals with how firms can try to prevent illegal insider trading and tipping. Two chapters compare the harmful and allegedly beneficial effects of stock market insider trading and discuss the harm to individual investors from each specific insider trade.

Number of Pages in PDF File: 18

Keywords: insider trading, insider tipping, inside information, selective disclosure, material nonpublic information, material non-public information, Regulation FD, Regulation Fair Disclosure, 10b5-1, 10b5-2, 10b-5, 10(b), securities fraud, mail fraud, wire fraud, SEC, Securities and Exchange Commission

JEL Classification: D61, D82, G14, G18, G28, G38, K14, K22, K42

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Date posted: April 23, 2007  

Suggested Citation

Wang, William K. S. and Steinberg, Marc I., Insider Trading (PLI 2d ed. 2006). INSIDER TRADING, PLI Publisher, Second Edition, 2006. Available at SSRN: http://ssrn.com/abstract=981638

Contact Information

William Kai-Sheng Wang (Contact Author)
University of California, Hastings College of the Law ( email )
200 McAllister Street
San Francisco, CA 94102
United States

Marc I. Steinberg
Southern Methodist University - Dedman School of Law ( email )
P.O. Box 750116
Dallas, TX 75275
United States
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