Stephen L. Cohen
former Associate Director of Enforcement
U.S. Securities and Exchange Commission
Enforcing Insider Trading at the SEC: Big Changes, Big Challenges
For over ten years, Mr. Cohen, who until recently served as Associate Director of the SEC's Enforcement Division, was at the forefront of the SEC's investigations of insider trading and litigation against those found to have engaged in unlawful activity. He was intimately involved in helping to set the Division's enforcement policy and working to enforce the rules against insider trading as interpreted by the federal courts. From this vantage point, Mr. Cohen will explore in his lecture the current complexity and uncertainty of the law of insider trading and make some predictions about the future development of the law. In doing so he will focus on the development of insider trading law, emphasizing the point that there is no federal statute that prohibits insider trading, but instead a rather vague SEC regulation, Rule 10b-5. He will also describe shifts in the SEC's enforcement priorities and consider whether the law of insider trading is fit to deal with what is likely to be a significant increase in network hacking cases.
5:00 pm Registration
5:30 pm Lecture
6:30 pm Reception
Omni Hotel Providence
One West Exchange Street
Providence, Rhode Island
Pending approval of one (1) Rhode Island CLE credit, no ethics credit.
We would like to thank all of our generous donors for making this endowed lecture series possible, with sincere appreciation to the following individuals for their leadership support: Brian C. Ali, Esq. '06, William A. Flanagan '05, Mr. Mario J. Gabelli '92H, Kevin W. Lewis, Esq. '08, John A. Pagliarini Jr., Esq. '99, Kevin P. Sullivan, Esq. '08, Jason B. Van Volkenburgh, Esq. '07.
A special thank you to the following corporate donors:
- Deutsche Bank Americas Foundation
- Hunter Douglas
- Hinckley Allen
Alumni, faculty and friends who wish to support The Professor Anthony J. Santoro Business Law Lecture Series Endowment can make a secure online gift at: http://law.rwu.edu/give/santoro-lecture-series-endowment.
Directions to the Omni Hotel Providence.
RSVP to the Office of Programs & Events by September 19 at 401-254-4659 or email email@example.com.