61. CVM - Publicações E Artigos - Insider Trading insider trading no Código Penal. Das legislações consultadas, apenas a francesa considerou crime o insider trading . http://www.cvm.gov.br/port/public/publ/Publ_600.asp

"insider trading" NORMA JONSSEN PARENTE ADVOGADA Junho de 1978 Download "insider trading" insiders "insider trading" insiders "insider trading" "insider" "insider trading" "Insider Ttrading" "Insider Trading" na Lei nº 6.404/76 nsider Trading" na Lei nº 6.404/76 "Insider Trading" na Lei nº 6.385/76 "Insider Trading" na Lei nº 6.385/76 "Insider Trading" "Insider Trading" "Insider Trading" "Insider Trading" "Insider Trading" O "Insider Trading" I.1 "insider" "insider" insider "insider" "insider" administradores – conselheiros e diretores da companhia (art. 145 da Lei nº 6.404/76); membros do Conselho Fiscal (art. 165 da Lei nº 6404/76); subordinados das pessoas acima referidas (§ 2º do art. 155 da Lei nº 6.404/76); acionistas controladores (art. 22, inciso V, da Lei nº 6.385/76). Relativamente ao conceito, adotado pelo Direito Brasileiro, do que sejam " (art. 157, § 4º, da Lei nº 6.404/76, combinado com o art. 155, § 1º). "insider" "insider" status " de "insider" "insider" , mas o art. 16 do " Securities Exchange Act Texas Gulf Sulphur Co. ", definiu "

62. Ivan Boesky - Sam Waksal - Insider Trading - Wall Street of the market, the Feds had busted him for insider trading. indictments, no one would dream of trading on inside at all against whitecollar crime created a http://www.newyorkmetro.com/nymetro/news/bizfinance/columns/bottomline/n_9352/

dqmcodebase = "/js/nav/" Saving Face The story of a doctor who helps make kids with severe deformities whole again. 12 Doctors Who Are Reinventing Medicine Visionary physicians and researchers in the New York area. Now Playing Adored: Diary of a Male Porn Star The Agronomist Badasssss Bon Voyage ... All Listings The Bottom Line Bad Boys, Bad Boys Whatcha gonna do? Slam-dunk prosecutions keep Wall Street on the straight and narrow. But not for long. Why every generation has to learn the same lesson. By James J. Cramer S Weird , I said to myself as I walked back to my studio apartment on East 72nd Street. And then, at home, I put on the TV to watch the Nightly Business Report and R Also a decade and a half post-Boesky, a group of hedge-fund managers concocted a scheme to rig mutual funds to steal from the unknowing little fellas. The combination of time and the breathtaking failure of securities regulators to show any toughness at all against white-collar crime created a world in which you could commit crimes and make a pretty good bet that you would get away with them. So we have to crack down again, just like a decade and a half ago. And I can assure you that once again, it

63. CBS News | Feds Say Martha Speech Was Crime | June 19, 2003 07:34:36 indictment of the domestic diva, prosecutors charge that she committed a crime when she stood up in public last summer and denied engaging in insider trading. http://www.cbsnews.com/stories/2003/06/19/national/main559356.shtml

Home U.S. Iraq World ... FREE CBS News Video June 19, 2003 07:34:36 The Early Show CBS Evening News 48 Hours 60 Minutes ... Section Front E-mail This Story Printable Version Feds Say Martha Speech Was Crime NEW YORK, June 6, 2003 What's In Store For Martha? Martha Stewart leaves court after being indicted. (Photo: AP) "What the government is trying to suggest here is that this was not a victimless crime." Robert Mintz, former federal prosecutor • Interactives: Martha's Mess Click here to view the charges against Martha Stewart, photos from her trial and more. ImClone Who's Who Click here to learn about key players and get the background on the ImClone scandal. • Timeline: Martha's Datebook Click here to see key dates in the life and career of Martha Stewart • Stories: A Different Martha 'Only Possible Verdict' A Look At Prison Life Guilty On All Counts ... A Tarnished Brand? (CBS/AP) Martha Stewart is accused of deliberately trying to inflate the stock of her own company — simply by declaring her innocence. Inserting an unusual twist into their indictment of the domestic diva, prosecutors charge that she committed a crime when she stood up in public last summer and denied engaging in insider trading. "I was a little surprised at that," said Richard A. Serafini, a former economic crimes prosecutor in New York. "There's kind of a natural tendency when you're confronted with something to deny it. Now they're charging it as market manipulation."

64. The Big Picture: Insider Trading & Martha As tricky Dick so effectively showed us, tain t the crime but da coverup Yes, it sounds bizarre, but the insider trading charge is where Martha is most likely http://bigpicture.typepad.com/comments/2003/11/insider_trading.html

hostName = '.typepad.com'; The Big Picture Barry L. Ritholtz Main Wednesday, November 12, 2003 Corp Law Prof Bainbridge has a rant about why Martha Stewart has not committed insider trading. Its a good piece, filled with solid analysis. The good Prof wrote the book literally on insider trading. The only problem is that the SEC isn't really prosecuting the Insider Trading charge as their main focus. Yes, Martha's been charged with insider trading But what the SEC seems to be keying on is the "Obstruction of Justice and Lying to Federal Investigators" aspect: "The Commission alleges that, during the morning of Dec. 27, 2001, Bacanovic instructed his assistant, Douglas Faneuil, to tell Stewart that Waksal and his daughter were selling all the ImClone stock held in their Merrill Lynch accounts. During a subsequent telephone call, Faneuil conveyed that information to Stewart, who promptly instructed Faneuil to sell all 3,928 shares of her ImClone stock. The next day, Dec. 28, 2001, ImClone announced that the FDA had decided not to accept ImClone's Erbitux application for filing. By the close of the next trading day, Monday, Dec. 31, 2001, the price of ImClone stock dropped 16% to $46 per share. By selling when she did, Stewart avoided losses of $45,673. The Commission alleges that Stewart and Bacanovic went on to lie when the Commission staff and criminal authorities questioned them about the facts surrounding Stewart's sale of ImClone stock. Stewart and Bacanovic fabricated an alibi for Stewart's trades, stating that she sold her ImClone stock because she and Bacanovic had decided earlier that she would sell if ImClone's stock price fell below $60 per share. In addition, Stewart told the government that she did not recall anyone telling her that day that any of the Waksals were selling their ImClone stock."

65. Discovery Institute - Article Database - Both Martha And Justice Have Suffered, She was being questioned about insider trading. insider trading is a crime. But the government did not charge her with insider trading. Why not? http://www.discovery.org/scripts/viewDB/index.php?command=view&program=Misc&id=1

66. Baltimoresun.com - Martha Stewart Case Not All Sewn Up evidence, insider trading cases are often open to much debate and interpretation especially since there is still no statute that directly defines the crime. http://www.baltimoresun.com/business/investing/bal-martha1009,0,7886322.story?co

67. Martha Stewart And Insider Trading By James K. Glassman -- Capitalism Magazine media pieces, movies and novels would have it be, both the theory and evidence of insider trading remain primitive Inside trading should be a crime if the http://www.capmag.com/article.asp?ID=3518

68. The SEC's "Insider Trading" Witch Hunt Against ImClone's Sam Waksal: Scapegoat F unpopular women were captured, tortured, and murdered for the crime of practicing used to persecute them, ranging from antitrust to insidertrading laws. http://www.capmag.com/article.asp?ID=2130

69. Corpedia's Web-Based Training Product Info Why You Should Train? insider trading is a serious crime that can result in both fines and imprisonment, and yet it can easily be inadvertently committed. http://www.corpedia.com/welcome/product.asp?product=1015&CID=&co=&from1=products

70. Mad-cow Futures Probe Seeks Crime Madcow futures probe seeks crime. May 14, 2004. Unlike the stock markets, there is no clear-cut prohibition on insider trading in futures. http://suntimes.com/output/business/cst-fin-cftc14.html

71. Ernie The Attorney: Insider Trading & Martha Stewart - A Primer By Prof. Stephen the high and mighty brought low. But charging her with insider trading stretches that crime beyond where it was ever meant to go. . http://www.ernietheattorney.net/ernie_the_attorney/2003/11/insider_trading.html

hostName = '.ernietheattorney.net'; Ernie The Attorney About Me Syndicate this site (XML) Enjoyable Books David Weinberger: Small Pieces Loosely Joined Scott Adams: God's Debris Steven Levy: Crypto Philip K. Howard: The Collapse of the Common Good ... Po Bronson: What Should I Do with My Life? : The True Story of People Who Answered the Ultimate Question Categories 1st Amendment Apple Books Culture ... Wi-Fi Powered by TypePad Member since 08/2003 Main November 10, 2003 UCLA law professor Stephen Bainbridge has a nice post about insider trading. He uses the Martha Stewart case as a discussion point: "I don’t particularly like Martha Stewart’s public persona. Like a lot of people, I get a vicarious little thrill out of seeing the high and mighty brought low. But charging her with insider trading stretches that crime beyond where it was ever meant to go." I can see how people get confused about exactly what behavior constitutes "illegal insider trading." When people get confused about legal issues they tend to conflate undesirable behavior with illegal behavior. It's good to have a legal expert on hand to help clarify things. 08:00 AM in Law Permalink TrackBack TrackBack URL for this entry: http://www.typepad.com/t/trackback/246893

72. Insider Trading --  Britannica Student Encyclopedia , Financial Scandals Information on financial scandals, ranging from insider trading to banking collapse to organized crime. Provides http://www.britannica.com/ebi/article?eu=335948&query=trading stamp&ct=ebi

73. Is Lying During An SEC Investigation A Crime? SEC Law insider trading Is lying during an SEC investigation a crime? Yes. A witness who lies under oath, even if not during a http://www.mystockoptions.com/faq/index.cfm/catID/1FD3C7CF-447A-495D-9F39DB59477

Fundamentals NQSOs ISOs ESPPs ... Editor's Welcome Restricted stock: Our site goes far beyond stock options to all major forms of stock compensation. We have extensive educational content on restricted stock and restricted stock units (ESPPs too). Please submit questions about site membership to editors@mystockoptions.com SEC Law: Insider Trading Is lying during an SEC investigation a crime? Yes. A witness who lies under oath... Register Now Only registered members can access our content and tools. Click here to register for free and see all the features we offer! The content with the logo requires Premium Membership. Member Sign In Username Password Forgotten your user name and password? Click here and we will try to help you find it. Question or comments? Email support or call (617) 734-1979. Home My Records My Tools My Library ... About Us myStockOptions.com is a federally registered trademark. Please do not copy or excerpt this information without the express permission of myStockOptions.com. Contact editors@mystockoptions.com.

74. In Defense Of Martha Stewart Like many other libertarianoriented folks, McMenamin argues that insider trading should not really be a crime in the first place or, if it is to be a crime http://brian.carnell.com/articles/2003/09/000032.html

Brian.Carnell.Com Archives September In Defense of Martha Stewart Brian.Carnell.Com Life is like a riddle, and I'm really stumped. Guests Logon Account Signup In Defense of Martha Stewart By Brian Carnell Saturday, September 27, 2003 Reason is the only magazine that I actually go out and buy even though I usually read all of the content first on their web site. Why? Because of excellent stories like Michael McMenamin's St. Martha: Why Martha Stewart should go to heaven and the SEC should go to hell Like many other libertarian-oriented folks, McMenamin argues that insider trading should not really be a crime in the first place or, if it is to be a crime, the govenment should at least be required to define exactly what constitutes insider trading. But you don't have to go that far to realize there's something a bit odd about the prosecution of Stewart. After all, the feds decided not to bring criminal charges of insider trading against Stewart (although it is pressing a civil case on those charges). Instead, the most serious criminal charge she faces is for saying publicly that she was not guilty of violating insider trading laws. Yes, you read that right Stewart is being prosecuted for saying she was innocent of a crime for which she was never charged. Welcome to the vagaries of securities law! As McMenamin writes

75. In Defense Of Martha Stewart insider trading should not really be a crime in the first place . Putting the Martha Stewart and the problems of defining insider http://brian.carnell.com/discussion/fullthread$msgnum=4683

Brian.Carnell.Com Discussion In Defense of Martha Stewart Brian.Carnell.Com What Would Scooby Do? Guests Logon Account Signup In Defense of Martha Stewart Previous Topic Next Topic Topics Page Page: 1 Chronological Order Brad Powell Sunday, September 28, 2003 Reply New Topic Single Message View Re:" ...in almost every other area iof economic and non-economic transactions making decisions based on nonpublic information is the norm ..." You are kidding, right Brian? Tell me with a straight face that you don't see the difference between: (a) the sale of a share of corporate stock and the sale of mineral leases or a head of beef (b) a corporate insider and a person trading on their own expertise gained with reasonable effort (c) trading on public market and the buying and selling in private markets Also tell me: (i) that you don't believe that an orderly and meaningful market must embrace a certain fundamental fairness, and the reasonable flow of informtion. Regarding Martha Stewart, as I suggested, put that aside for the moment. She's was indicted for something other than insider trading. Brad Brian Carnell Sunday, September 28, 2003

76. What Is Really Unethical About Insider Trading Those who support insider trading claim that it is a victimless crime, that it increases market efficiency, that it reveals the true value of a stock, and http://planet.tvi.cc.nm.us/jersherm/insider.htm

What is really Unethical About Insider Trading Jerry L. Sherman Phil. 245B.101 and 102 Mar. 11, 2002 I. Sources: Jennifer Moore, "What is Really Unethical about Insider Trading?" (reading 6.3); Allan Sloan, "One Enron Lesson: Some Insider Trading Falls Outside the Timely-Reporting Rule," http://www.washingtonpost.com/wp-dyn/articles/A38794-2002Mar4.html . printed 3/7/02. II. General Topic: Employee Responsibility. The chapter takes up three issues that are all about the moral responsibilities of employees, but are not otherwise closely related. There is the general obligation to tell the truth and the question of whether or not this fully applies in the world of business. There is the question of whistleblowing and how it fits in with loyalty toward the employer. And there is the question of insider trading, which is a kind of conflict of interest that happens when people with inside knowledge of corporations use it to improve their ability to trade profitably on the stock market. This report will be about insider trading, using the Moore article and a Washington Post article that looks at how this affected the Enron scandal.

77. White Collar Crime - Online Lawyer Source The types of crime identified as white collar are professional crimes tax fraud, securities fraud, insider trading, money laundering, etc. http://www.onlinelawyersource.com/white_collar/

Home Personal Injury Medical Malpractice Criminal Law ... Other Practice Areas Related Topics About Recent Cases Statistics Penalties ... Victims Criminal Topics About Assault Battery DUI ... Federal Crime For DUI and Criminal Lawyers Select a State! Alaska Alabama Arizona Arkansas California Colorado Connecticut Delaware D.C. Florida Georgia Hawaii Idaho Illinois Indiana Iowa Kansas Kentucky Louisiana Maine Maryland Massachusetts Michigan Minnesota Mississippi Missouri Montana Nebraska Nevada New Hampshire New Jersey New Mexico New York North Carolina North Dakota Ohio Oklahoma Oregon Pennsylvania Puerto Rico Rhode Island South Carolina South Dakota Tennessee Texas Utah Vermont Virginia Washington West Virginia Wisconsin Wyoming White Collar Crime White collar crime is generally defined as financial, corporate, or economic crime. The types of crime identified as "white collar" are professional crimes: tax fraud, securities fraud, insider trading, money laundering, etc. Most white collar crimes use sophisticated systems and computer programs, making both prosecution and defense of white collar crime cases more complicated. Although they generally involve no violence, white collar crimes can carry heavy prison sentences. Defendants accused of committing white collar crimes can include individuals, employees accused of defrauding companies, or business owners. Individual white collar crimes such as counterfeiting, insurance/tax fraud, and bribery can be committed on one's own. White collar crimes like embezzlement, economic espionage, and insider trading generally involve an employee of a business. White collar crimes committed by businesses include fraud, environmental violations, money laundering, public corruption, and kickbacks. Most white collar crimes could be committed by anyone. For instance, individuals can be accused of environmental violations, white collar crimes committed by employees can include money laundering, and business have been found guilty of counterfeiting.

78. Insider Trading In Israel & England - A. Yoran of liability stem from the fact that trading on undisclosed It has been a crime in England since 1939 of material information, even by an insider, does not http://mishpatim.mscc.huji.ac.il/sacher/yoran72e.htm

Published by the Sacher Institute A. Yoran Order this publication Contact the publisher Table of Contents Foreword Preface Introduction I. CHARACTERISTICS OF INSIDER TRADING 15 II. CONTRACT Uberimae Fidei?-REVISITING Percival v. Wright AND AIIen v. Hyatt 23 III. A CRACK IN THE Percival v. Wright WALL IN SOUTH AFRICA? 27 IV. AFFIRMATIVE DUTY TO DISCLOSE AT COMMON LAW IN ISRAEL 29 V. DERIVATIVE SUIT BY AN ENGLISH OR ISRAELI SHAREHOLDER 33 VI. REPORTING AND DISCLOSURE REQUIREMENTS IN ISRAEL AND ENGLAND FOR INSIDER TRADING 43 VII. IMPLICATION OF CIVIL LIABILITY IN SECURITIES LAW IN THE UNITED STATES 51 Implied Liability for Insider Trading under American Federal Securities Laws-Comparison of the Framework Thereof with that in England and Israel 51 Theories of Liability in the Blue Sky Laws 56 VIII. IMPLICATION OF CIVIL LIABILITY FROM CRIMINAL PROVISIONS REGARDING SECURITY TRANSACTIONS IN ENGLAND AND ISRAEL 59 Introduction 59 Implying a Tort regarding Insider Trading in England 59 1. General Tests for Implication 59 2. Analysis of Section 13 64

79. Equities/nalookbacks/lbArticle.asp in 1994. During the 1990s, however, the number of markets in which insider trading is a crime has vaulted from 34 to 87. T he Indiana http://www.netassets.co.za/equities/nalookbacks/lbArticle.asp?lookbackID=731

80. HoustonChronicle.com - Enron's Skilling Charged With Insider Trading, Fraud And Houston early today to face 57 pages of charges that include insider trading, fraud and The top Enron executive to be accused of a crime in the trading giant s http://www.chron.com/cs/CDA/ssistory.mpl/topstory2/2410325

HoustonChronicle.com Pick a section Home Page Business Classifieds Columnists Comics Community Directory Entertainment Features Health Help Inside Story Marketplace Metropolitan Page 1 News Search Archives Site Map Space Sports Travel Weather Section: Top Story Section: Business Section: Enron Current stories in Top Story: Manhunt is on after police officer shot Printer-friendly format Feb. 19, 2004, 6:22PM Enron's Skilling charged with insider trading, fraud and more By MARY FLOOD RESOURCES Former Enron CEO Jeff Skilling testifies before Congress in 2002. THE NEW YORK INCIDENT Bond violations? Motion to further restrict Skilling alleges drunken 'irrational' behavior in New York - 4/21 Skilling's response: His lawyers tell court N.Y. episode was unfairly distorted by prosecutors - 4/29 The judge's decision: Skilling placed on curfew and ordered to get a job - 5/7. VIDEO Watch Skilling's surrender: Handcuffed executive heads to court - 2/19 AUDIO Attorney Dan Petrocelli defends his client in February: Skilling has nothing to hide Just a scapegoat Passed lie detector test See results of polygraph test Congressional testimony: What Skilling and others told the House Energy and Commerce Committee in 2002 Angry Enron exes: Former employee Diana Peters sounds off More Enron alums react to indictment BACKGROUND In his own words: What Skilling has had to say.

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