Sentences with phrase «nonpublic information in»

I think that unless you're going to try and go after nonpublic information in biotech stocks, the first indicator that anybody who only has public information has that a new drug is not going to make it through the FDA is the price action, so you just can not invest in those things.

The report, which was initially adopted by OCE in July, recommends further review of the allegation the congressman shared nonpublic information in the purchase of Innate stock.

Not exact matches

New studies find that banks abused nonpublic information during the financial crisis and that brokers and clients often engage in quid pro quo for insider knowledge.

Under regulations that debuted in 2000, Porat is not allowed to selectively disclose «material nonpublic information» to analysts and other market professionals.

It bars staff from discussing «all nonpublic information I learn of or gain access to in the course of my official duties in the service of the United States Government on White House staff,» including «communications. . .

The CFTC's guidance also clarified that employees are not allowed to purchase cryptocurrencies «on margin» or transact in cryptocurrencies if they have related nonpublic information.

«I see the memo as the CFTC cautioning its employees on the ethical issues that could be raised by their trading in cryptocurrencies, encouraging them to consider and seek advice from the CFTC ethics team before trading in cryptocurrencies, noting that employees may not transact in cryptocurrencies if they have nonpublic information about them from their work at the CFTC, and advising that those who participate in CFTC dealings related to cryptocurrencies may not trade in them for conflict of interest reasons.»

Illegal insider trading is, roughly, trading on material nonpublic information that is disclosed to you «in breach of a fiduciary duty or other relationship of trust and confidence.»

Illegal insider trading generally refers to insider buying or selling a security, in breach of a fiduciary duty or other relationship of trust and confidence, while in possession of material, nonpublic information about the security.

Yes, Bharara put plenty of people in jail for trading on what's known as «material nonpublic information,» and some made perfectly reasonable targets.

New York University (NYU) associate professor of radiology Yudong Zhu and NYU graduate student Xing Yang, both Chinese citizens, were arrested on 19 May on federal bribery charges in connection with an alleged conspiracy to pass nonpublic information from research funded by the U.S. National Institutes of Health (NIH) to a Chinese company with ties to the Chinese government.

Prohibit employees from engaging in financial transactions using nonpublic Government information, making unauthorized commitments, using public office for private gain, and engaging in nonofficial activities that conflict with the performance of duty.

If the item to the left is checked, I direct you not to share nonpublic personal information about me to non-affiliated third parties, except as provided in this Privacy Policy.

Diamond Residential Mortgage Corporation shares nonpublic personal information: To companies involved in the loan process such as appraisers, title companies, credit reporting companies and insurance companies and mortgage investors and mortgage servicers who are a necessary part of the mortgage transaction and therefore we must provide some of your information to these companies in order to process and fund your loan.

We restrict access to your nonpublic personal information to our employees who need the information and to our contractors and agents in order to provide service to you in connection with the administering, servicing, and collection of your loan account.

To assist us in offering you services, we may occasionally share nonpublic personal information with companies that provide services to us, such as lenders, our marketing consultants, Realtors, housing nonprofits and loan servicing companies.

The Fund's Chief Compliance Officer, or a Compliance Manager designated by the Chief Compliance Officer, may also grant exceptions to permit additional disclosure of Fund portfolio holdings information at differing times and with different lag times (the period from the date of the information to the date the information is made available), if any, in instances where the Fund has legitimate business purposes for doing so, it is in the best interests of shareholders, and the recipients are subject to a duty of confidentiality, including a duty not to trade on the nonpublic information and are required to execute an agreement to that effect.

Be interested in the industry as a whole, and don't try to gain material nonpublic information.

Illegal insider trading refers generally to buying or selling a security, in breach of a fiduciary duty or other relationship of trust and confidence, while in possession of material, nonpublic information about the security.

Assuming you're in the US and the stock is possible to sell (public company, no trading window restrictions, you have no material nonpublic information, etc..)

On April 15, 2008, in response to a phone call from Kevin Tang of Tang Capital LP, we began a series of communications with Mr. Tang over several months during which we attempted to negotiate a confidentiality agreement with Mr. Tang and Tang Capital to permit discussions covering nonpublic information relating to Northstar and our operations.

It gives you important information about how TIAA - CREF Tuition Financing, Inc. («TFI») handles nonpublic personal information it may receive about you in connection with the Plan.

We believe that it is permissible to «friend» X in this situation in order to access nonpublic information only when the lawyer has been able to send a message that discloses her identity as the plaintiff's lawyer.

A lawyer for a party may «friend» an unrepresented adversary in order to obtain information helpful to her representation from the adversary's nonpublic website only when the lawyer has been able to send a message that discloses his or her identity as the party's lawyer.

Encryption of Nonpublic Information A Covered Entity must encrypt all Nonpublic Information held or transmitted by the Covered Entity both in transit and at rest.

Nonpublic information may include, but is not limited to, information that is sealed by statute or court order or impounded or communicated in camera, and information offered in grand jury proceedings, presentencing reports, dependency cases, or psychiatric reports.

A judge shall not intentionally disclose or use nonpublic information acquired in a judicial capacity for any purpose unrelated to the judge's judicial duties.

Because the FTC has clearly stated that it will not enforce the GLB privacy provisions against persons engaged in providing insurance, health plans will not be subject to dual federal agency jurisdiction for information that is both nonpublic personal information and protected health information.

Nonpublic personal information, as used in this notice, means information that identifies an individual personally and is not otherwise available to the public.

Sources from which we may collect nonpublic information about you include: information we receive from you on applications or other forms in writing, via facsimile transmission, by telephone, by electronic means including e-mail and our website, or by other means of communication; information resulting from your transactions with us, our affiliates or others; information resulting from entitled services that you have received from us, our affiliates or others; information obtained from governmental sources, such as your driving record and claims history (insurance clients); and information obtained from non-governmental sources, such as demographic data used for marketing purposes.

7.3 If OnePlus is informed that the security of the data it has acquired and stored is compromised or the user's nonpublic information is disclosed to an unrelated third party due to external acts (such as hacker attack), OnePlus will take reasonable actions (including but not limited to internal investigations, reporting and notification to law enforcement agencies, and cooperation with the law enforcement agencies) as it may consider appropriate, notwithstanding any disclaimer in this Policy.

The new Cyber Unit was launched by the SEC in September to focus on problems like ICO fraud, «misconduct» on the dark web, hacks aimed at stealing nonpublic information, intrusions into retail brokerage accounts, market manipulation schemes involving «false information spread through electronic and social media,» and cyber threats to market infrastructure like trading platform.

He added that for many years, Coinbase has had a policy in place that prevents employees, their families, and friends from trading cryptocurrencies on material nonpublic information.

When TRID went into effect in 2015, lenders were reluctant to share the new required Closing Disclosure (CD) with real estate professionals out of fear of liability for disclosing clients» nonpublic personal information.