Insider trading sanctions and SEC enforcement legislation: hearing before the Subcommittee on Telecommunications, Consumer Protection, and Finance of the Committee on Energy and Commerce, House of Representatives, Ninety-eighth Congress, first session, on H.R. 559 ... April 13, 1983
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2d Cir aiding and abetting amended appropriate April 13 Attorney bill broker-dealer burden of proof cease and desist Chairman Shad Chiarella civil penalty clear and convincing Commission's conduct Congress cooked books corporate criminal Dean Witter Reynolds defendant definition of insider deterrent Dingell disgorgement draft employee enforcement actions evidence Exchange Commission fact Fedders federal securities laws fiduciary filings firm fraud Goelzer impose injunctive action inside information Insider Trading Sanctions investors issue issuer jury trial liability litigation loss avoided market information material nonpublic information options person possession of material preponderance proceedings profit gained proposed legislation prosecution provisions purchase or sale question remedies respondeat superior Rinaldo Santa Fe Section 10(b Securities and Exchange Securities Exchange Act securities markets seek shareholders standard of proof statement statute of limitations Subcommittee suggested Supreme Court tender offer tion tippee Trading Sanctions Act tradinq transaction treble damages United unlawful Wirth