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What may the sec proceed about this situation

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Reference no: EM133525001

Question A) High Flyer Inc., a publicly held company, made an extraordinary corporate payout of a bonus to its CEO while it was under investigation by the SEC for fraud. Under SOX, what may the SEC proceed about this situation?

Question B) Please research one of the following cases:

Dirks v. SEC, 463 US 646 (1983); Chiarella v. US, 445 US 222 (1980); US v. Winans, 612 F Supp 827 (S.D.N.Y. 1985), NOT the Winans 1905 treaty case.

Question C)Who exactly are insiders who share a fiduciary duty under the insider trading rules? We already researched Martha Stewart and Rajat Gupta. What about Michael Miken, SAC Capital (Steven A Cohen) and the case of US v. O'Hagan, 521 US 642 (1997)?

Question D) Please research the case of SEC v. Texas Gulf Sulphur Co., 401 F 2d 833 (2nd Cir, NY, Aug 13, 1968). What guidance does the case provide for us?

 

 

Reference no: EM133525001

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