Index

Pages195-207
195
INDEX
Above-the-wall” executives, 179
Access persons, 163, 179
adviser, 159
investment adviser, 181–182
personal trading by, 177
Administrative law judges (ALJs), 99, 147
appointment of, 133, 140–145
important functions of, 144
Administrative proceedings, 45
increase in use of, 134
SEC shift to, 133–135
authority, guidance, and proposed
rule changes, 135–139
criticism and legal challenges,
139–148
Adondakis, Spyridon, 83
Advanced Micro Devices, Inc. (AMD),
75, 100
Adviser’s Act. See Investment Advisers Act
of 1940
Affirmative defense, 192
availability for transactions, 193
criteria for 10b5-1 plan, 190–191
to insider trading, 189
Allen, Kenneth Ronald, 160n9
All Know Holdings Ltd., SEC v., 113
Anti–money laundering (AML),
164–165
Appointments Clause, 142–143, 145
Article II of Constitution, 140, 142, 145, 146
Appointments Clause of, 142–143, 145
violation, 141
Asadi v. G.E. Energy (U.S.A.), L.L.C., 171n14
AshleyMadison.com, 151
“Backdating” scandal, 185, 186
Bandimere, David, 144–147
Bandimere v. Securities and Exchange
Commission, 140n22, 142n34,
143n36, 144, 144n44, 145n50
Bank Secrecy Act, 160
Barclays Capital, Inc., 165n24
Barth v. Fidelity & Columbia Trust Co., 24n5
Basic Inc. v. Levinson, 13n11, 79n94
Batson v. Kentucky, 86
Bawden v. Taylor, 24n5
Baxter v. Palmigiano, 51n36
Bebo v. SEC, 141n24
Becker, Holly, 152
Benefits of cooperation
insider trading, 105–106
with Department of Justice,
106–112
with SEC, 112–115
Benhamou, Yves, 77
Berman v. Neo@Ogilvy LLC & WPP Group
USA, Inc., 171n14
Bharara, Preet, 83
Blackout periods, 182
imposition of, 175
Blue-sheeting process, 42
Boesky, Ivan, 57
The Bourne Ultimatum, 77
Brady v. Maryland, 49n27
Breach of fiduciary duty, 17–19
Broad dissemination, evidence of, 14
Brody v. Transitional Hospitals Corp.,
54n46, 56n60
Broker-assisted cashless exercise,
187–189
Broker-dealers and investment advisers,
176–183
best compliance practices, 178
description of, 176–178
Loewenson56940_IDX.indd 195 23/03/17 5:12 PM

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