81. Experts in securities law said they could not recall an insider-trading case involving Treasury bonds. 82. Foelak also noted that there had been no evidence that Trepp subsequently committed other violations of securities laws. 83. Federal and state regulators argue that many of the transactions, particularly those in which shares in a policy are sold, are covered by securities laws. 84. Federal securities laws forbid someone in a position of fiduciary responsibility with knowledge of material, nonpublic information from trading on the basis of the information. 85. Federal securities laws precluded El Paso from issuing nonvoting securities to Fidelity in exchange for these debt obligations. 86. Federal securities laws require that stocks and bonds be registered with the SEC -- through the filing of disclosure documents -- before they are sold to the public. 87. Fisher will also be subject to stiffer penalties if he violates additional securities laws, according to the settlement. 88. For those who believe in respect for the securities laws, it will be a sad moment. 89. Fund President Jerome Dodson also was charged with two other violations of securities laws. 90. Garvey has settled with the SEC and pleaded guilty to conspiring to violate the securities laws in a series of cases. |