Hot Topics and Recent Developments in the World of Insider Trading

Speakers

Janice Reicher Farella Braun + Martel	Walker Newell Robinhood

Steven Buchholz   The U.S. Securities and   Exchange Commission	Cody Gray Keker, Van Nest & Peters

This program will cover hot topics and recent developments in the world of insider trading. It will discuss, among other things, what insider trading investigations look like, and recent insider trading cases that raise novel and/or interesting legal issues. Discussion topics will include SEC v. Wahi, which concerns whether certain digital assets qualify as securities; SEC v. Panuwat, which addresses an attempt to trade in the securities of certain economically-linked firms to avoid insider trading laws; and SEC v. Fu, an insider trading case brought against a CEO who traded pursuant to a 10b5-1 trading plan.

Topics

• Hot local and national cases related to insider trading;
• What insider trading investigations look like and why some cases turn criminal
• Enforcement trends in insider trading
• Insider trading cases in the digital asset space
• Insider trading cases focused on “shadow” insider trading
• Insider trading cases related to 10b5-1 trading plans

Section Chairs

Chairs: Carole Okolowicz & Laura Riparbelli

Event Code: B221444

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Cost

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MCLE Notice

To receive MCLE credit, you must sign in during the designated MCLE registration period. This activity is approved for Minimum Continuing Legal Education credit by the State Bar of California. BASF is a certified provider: Provider #103

Accessibility

People with disabilities and/or special requests should contact BASF regarding reasonable accommodations.