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  • November 2004 (Revised February 2006)
  • Background Note
  • HBS Case Collection

Note on Insider Trading Liability

By: Lynn S. Paine and Christopher Bruner
  • Format:Print
  • | Language:English
  • | Pages:8
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Abstract

Provides a general description and overview of U.S. law on insider trading, including the basic theories of liability, the responsibilities of securities firm managers to prevent and detect insider trading, and the potential penalties for insider trading. A rewritten version of an earlier note.

Keywords

Insider Trading; Legal Liability; Ethics; Crime and Corruption; Finance

Citation

Paine, Lynn S., and Christopher Bruner. "Note on Insider Trading Liability." Harvard Business School Background Note 305-029, November 2004. (Revised February 2006.)

About The Author

Lynn S. Paine

General Management
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