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Ferrara on Insider Trading and The Wall

  • ID: 3511144
  • Book
  • Region: United States
  • ALM Media, LLC
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This valuable book discusses the evolution of the law of insider trading and explores ways in which corporations can use compliance programs to deter wrongdoing, with particular attention to multi-service financial institutions. Ferrara on Insider Trading and The Wall demonstrates how such firms can implement “Chinese Walls” and other procedural devices to prevent employees who acquire material nonpublic information from sharing it with employees who trade securities.

The authors analyze the impact of the Dodd-Frank Wall Street Reform and Consumer Protection Act, the Sarbanes-Oxley Act and SEC regulations regarding selective disclosure and insider trading. They also discuss recent cases and other important developments such as Rule 10b5-1 trading plans and a heightened regulatory focus on hedge funds. In addition, the book provides suggested guidelines for deterring insider trading by employees.
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Ralph C. Ferrara
Ralph C. Ferrara is the Managing Partner of the Washington, D.C. office of Dewey & LeBoeuf LLP. His practice includes a wide range of business regulatory and corporate governance matters; representing corporations and individuals in complex securities class and shareholder derivative actions; advising corporate clients on Securities and Exchange Commission reporting and disclosure requirements; representing corporations and individuals in government investigations and enforcement proceedings; and conducting corporate internal investigations and counseling corporate officers, committees and boards on these matters. Mr. Ferrar has argued on five occasions before the United States Supreme Court, and he has appeared in each of the Federal Circuit Courts of Appeal and represented clients in state and federal courts across the country. From 1978-1981, Mr. Ferrara served as General Counsel of the Securities and Exchange Commission. Prior to that, Mr. Ferrara was a trial attorney, special counsel, and branch chief in the Commission's Division of Enforcement, where he participated in numerous court proceedings. During his career with the Commission, Mr. Ferrara also has acted as Executive Assistant or Special Counsel to three Chairmen, Assistant General Counsel, and Special Counsel to the Chairman.
Donna M. Nagy
Donna M. Nagy is the C. Ben Dutton Professor of Business Law at the Indiana University School of Law, Bloomington and teaches courses in Securities Regulation, Securities Litigation, and Corporations. Previously she was the Charles Hartsock Professor of Law at the University of Cincinnati College of Law. Prior to teaching, Professor Nagy was an associate in the Washington D.C. office of Debevoise & Plimpton, where she represented corporations and individuals in connection with government investigations and civil and criminal proceedings.
Herbert Thomas
Herbert Thomas is the Chief Business Development and Marketing Officer of Dewey & LeBoeuf LLP, working from the New York office. Prior to joining Dewey & LeBoeuf, he was a securities litigator with Debevoise & Plimpton, where his practice focused on representing corporations and individuals in complex class and derivative actions.
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