Partners Richard Wallace and Joseph Edmondson discuss how unregulated companies and non-brokerage firms can appropriately respond to “voluntary” insider trading inquiries from the Financial Industry Regulatory Authority. The authors recognized the response process as challenging for most companies, but added that inquiries can be addressed more efficiently with the use of electronic communications and assistance from experienced counsel.
Author(s)
Related Insights
10 March 2025
Labor & Employment Law Perspectives
New Hampshire’s New “Guns at Work” Law: What Employers Need to Know
New Hampshire has recently made headlines with its new statute allowing employees to bring firearms to work in certain circumstances, which became effective on January 1, 2025.
10 March 2025
Labor & Employment Law Perspectives
Are Workforce Reductions Coming to the Private Sector? And, if so, How Should Companies Handle Them?
Massive federal workforce reductions (once a rare event) have been featured prominently in the news lately, along with reports of criticism about the way they are occurring. Will private companies follow suit?
19 March 2025
Events
To Collaborate or Not: What are the advantages and pitfalls of sharing resources, IP and data in the digital age?
Partner Thomas (T.J.) Ferrante, a board-certified health care attorney and vice chair of Foley’s Health Care Practice Group, will present on the panel “To Collaborate or Not: What are the advantages and pitfalls of sharing resources, IP and data in the digital age?” at the North Carolina Health Innovation District’s Digital Health Summit in Charlotte, North Carolina on March 19, 2025.