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Companies May Avoid Regulation FD Enforcement Proceedings

The SEC indicated in a recent litigation release that a company may avoid an SEC enforcement proceeding for a Regulation FD violation by a key employee, even when the SEC commences a proceeding against the employee responsible for the violation.

10 minute read December 18, 2009 at 08:53 AM
By
James J. Junewicz
Companies May Avoid Regulation FD Enforcement Proceedings

Regulation FD generally requires public companies to publicly disclose material nonpublic information that has been selectively disclosed to members of the investment community.

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