A few lawmakers proposed a bill that would prevent members and employees of Congress from trading securities based
on nonpublic information they obtain.
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.
Not exact matches
Insider trading remains a rampant problem
on Wall Street, with new research finding that the nation's largest financial institutions pocket hefty sums with the help of
nonpublic information.
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. . .
Remember: Sometimes it is legal to trade
on material
nonpublic information, although, paradoxically, this is not legal advice.
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.»
According to U.S. Securities and Exchange Commission (SEC), Stewart avoided a loss of $ 45,673 by selling all 3,928 shares of her ImClone Systems stock
on December 27, 2001, after receiving material,
nonpublic information from Peter Bacanovic, who was Stewart's broker at Merrill Lynch.
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.
If the item to the left is checked, this dealership reserves the right to disclose
nonpublic personal
information to third parties, such as market research firms, direct marketing companies, finance service providers and others who may from time to time seek to provide you
information on valuable products or services.
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.
collects
nonpublic personal
information included
on forms, checks and gift letters we receive from you, or through
information you communicate directly to us through other means.
(4) Goklany's chapter would be based
on peer - reviewed and open - source literature, not «
nonpublic information.»
The article considers the practical consequences for investment professionals of the Stop Trading
on Congressional Knowledge Act, which regulates the dissemination by government employees and political consultants of material
nonpublic information about policy initiatives undertaken by the legislative and executive branches of government.
The regulation does not specify the form that the program must take, but requires that it be «designed to perform the following core cybersecurity functions:» (1) identify internal and external cyber risks by, at a minimum, identifying the
Nonpublic Information stored on the Covered Entity's Information Systems, the sensitivity of such Nonpublic Information, and how and by whom such Nonpublic Information may be accessed; (2) use defensive infrastructure and the implementation of policies and procedures to protect the company's Information Systems and the Nonpublic Information stored on those Information Systems, from unauthorized access, use or other malicious acts; (3) detect Cybersecurity Events - which are defined broadly to include «any act or attempt, successful or unsuccessful, to gain unauthorized access to, disrupt or misuse an Information System or information stored on an Information System;» (4) respond to identified or detected Cybersecurity Events to mitigate any negative effects; (5) recover from Cybersecurity Events and restore normal operations and services; and (6) fulfill all regulatory reporting o
Information stored
on the Covered Entity's
Information Systems, the sensitivity of such Nonpublic Information, and how and by whom such Nonpublic Information may be accessed; (2) use defensive infrastructure and the implementation of policies and procedures to protect the company's Information Systems and the Nonpublic Information stored on those Information Systems, from unauthorized access, use or other malicious acts; (3) detect Cybersecurity Events - which are defined broadly to include «any act or attempt, successful or unsuccessful, to gain unauthorized access to, disrupt or misuse an Information System or information stored on an Information System;» (4) respond to identified or detected Cybersecurity Events to mitigate any negative effects; (5) recover from Cybersecurity Events and restore normal operations and services; and (6) fulfill all regulatory reporting o
Information Systems, the sensitivity of such
Nonpublic Information, and how and by whom such Nonpublic Information may be accessed; (2) use defensive infrastructure and the implementation of policies and procedures to protect the company's Information Systems and the Nonpublic Information stored on those Information Systems, from unauthorized access, use or other malicious acts; (3) detect Cybersecurity Events - which are defined broadly to include «any act or attempt, successful or unsuccessful, to gain unauthorized access to, disrupt or misuse an Information System or information stored on an Information System;» (4) respond to identified or detected Cybersecurity Events to mitigate any negative effects; (5) recover from Cybersecurity Events and restore normal operations and services; and (6) fulfill all regulatory reporting o
Information, and how and by whom such
Nonpublic Information may be accessed; (2) use defensive infrastructure and the implementation of policies and procedures to protect the company's Information Systems and the Nonpublic Information stored on those Information Systems, from unauthorized access, use or other malicious acts; (3) detect Cybersecurity Events - which are defined broadly to include «any act or attempt, successful or unsuccessful, to gain unauthorized access to, disrupt or misuse an Information System or information stored on an Information System;» (4) respond to identified or detected Cybersecurity Events to mitigate any negative effects; (5) recover from Cybersecurity Events and restore normal operations and services; and (6) fulfill all regulatory reporting o
Information may be accessed; (2) use defensive infrastructure and the implementation of policies and procedures to protect the company's
Information Systems and the Nonpublic Information stored on those Information Systems, from unauthorized access, use or other malicious acts; (3) detect Cybersecurity Events - which are defined broadly to include «any act or attempt, successful or unsuccessful, to gain unauthorized access to, disrupt or misuse an Information System or information stored on an Information System;» (4) respond to identified or detected Cybersecurity Events to mitigate any negative effects; (5) recover from Cybersecurity Events and restore normal operations and services; and (6) fulfill all regulatory reporting o
Information Systems and the
Nonpublic Information stored on those Information Systems, from unauthorized access, use or other malicious acts; (3) detect Cybersecurity Events - which are defined broadly to include «any act or attempt, successful or unsuccessful, to gain unauthorized access to, disrupt or misuse an Information System or information stored on an Information System;» (4) respond to identified or detected Cybersecurity Events to mitigate any negative effects; (5) recover from Cybersecurity Events and restore normal operations and services; and (6) fulfill all regulatory reporting o
Information stored
on those
Information Systems, from unauthorized access, use or other malicious acts; (3) detect Cybersecurity Events - which are defined broadly to include «any act or attempt, successful or unsuccessful, to gain unauthorized access to, disrupt or misuse an Information System or information stored on an Information System;» (4) respond to identified or detected Cybersecurity Events to mitigate any negative effects; (5) recover from Cybersecurity Events and restore normal operations and services; and (6) fulfill all regulatory reporting o
Information Systems, from unauthorized access, use or other malicious acts; (3) detect Cybersecurity Events - which are defined broadly to include «any act or attempt, successful or unsuccessful, to gain unauthorized access to, disrupt or misuse an
Information System or information stored on an Information System;» (4) respond to identified or detected Cybersecurity Events to mitigate any negative effects; (5) recover from Cybersecurity Events and restore normal operations and services; and (6) fulfill all regulatory reporting o
Information System or
information stored on an Information System;» (4) respond to identified or detected Cybersecurity Events to mitigate any negative effects; (5) recover from Cybersecurity Events and restore normal operations and services; and (6) fulfill all regulatory reporting o
information stored
on an
Information System;» (4) respond to identified or detected Cybersecurity Events to mitigate any negative effects; (5) recover from Cybersecurity Events and restore normal operations and services; and (6) fulfill all regulatory reporting o
Information System;» (4) respond to identified or detected Cybersecurity Events to mitigate any negative effects; (5) recover from Cybersecurity Events and restore normal operations and services; and (6) fulfill all regulatory reporting obligations.
The restriction
on using
nonpublic information is not intended to affect a judge's ability to act
on information as necessary to protect the health or safety of the judge or a member of a judge's family, court personnel, or other judicial officers if consistent with other provisions of this Code.
The types of
nonpublic personal
information we collect and share depend
on the product or service you have with us.
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.
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.