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Rare Regulation FD Court Decision Highlights Risks of Calls with Analysts
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Rare Regulation FD Court Decision Highlights Risks of Calls with Analysts
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Trade Publication Article
Rare Regulation FD Court Decision Highlights Risks of Calls with Analysts
2023
Overview
On September 8, Judge Engelmayer of the Southern District of New York denied motions for summary judgment filed by both the SEC and the defendants in litigation alleging Regulation FD violations. Because most Regulation FD cases brought by the SEC are settled, the court's evaluation of the claims and defenses provides insight for companies deciding whether certain communications with analysts might violate Regulation FD. The court cited the multiple points of evidence in support of scienter, including the number of analyst calls in which defendants disclosed confidential information; the variety of internal data that the defendants disclosed; the sustained duration (six weeks) of these disclosures and the general internal concern and persistence until the earnings estimates were brought down.
Publisher
Aspen Publishers, Inc
Subject
