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The New Era of Regulatory Enforcement: A Comprehensive Guide for Raising the Bar to Manage Risk by Timothy P. Hedley, Richard H. Girgenti

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Chapter 6

Market Manipulation and Insider Trading

Richard J. BerginNathan B. PloenerTimothy P. Hedley

Securities and Exchange Commission (SEC) Chair Mary Jo White said in September 2013 that a “robust enforcement program is critical to fulfilling the SEC’s mission to instill confidence in those who invest in our markets and to make our markets fair and honest.”1 Passed in the wake of the most recent financial crisis, the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank) represented the most comprehensive financial regulatory reform since the Great Depression.

The passage of Dodd-Frank ushered in an era of increased regulatory scrutiny, particularly in the financial services sector and on potential market abuses. This has ...

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