证券交易外文翻译

证券交易外文翻译

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时间:2018-11-21

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1、附录附录ASECChargesFormerNASDAQManagingDirectorwithInsiderTradingTheSECallegesthatDonaldL.Johnsontradedinadvanceofsuchpublicannouncementsascorporateleadershipchanges,earningsreportsandforecasts,andregulatoryapprovalsofnewpharmaceuticalproducts.Heoftenplacedthei

2、llegaltradesdirectlyfromhisworkcomputerthroughanonlinebrokerageaccountinhiswife'sname.Johnsonobtainedillicittradingprofitsofmorethan$755,000duringathree-yearperiod.JohnsonalsohasbeenchargedinaparallelcriminalactionannouncedbytheUSDepartmentofJusticetoday.Ac

3、cordingtotheSac’scomplaintfiledinUSDistrictCourtfortheSouthernDistrictofNewYork,JohnsonillegallytradedinadvanceofnineannouncementsinvolvingNASDAQ-listedcompaniesfromAugust2006toJuly2009.AccordingtotheSac’scomplaintfiledinUSDistrictCourtfortheSouthernDistric

4、tofNewYork,JohnsonillegallytradedinadvanceofnineannouncementsinvolvingNASDAQ-listedcompaniesfromAugust2006toJuly2009.JohnsontookadvantageofbothfavorableandunfavorableinformationthatwasentrustedtohiminconfidencebyNASDAQanditslistedcompanyclients,shortingstoc

5、ksonseveraloccasionsandestablishinglongpositionsinotherinstances.JohnsonlivesinAshburn,Va.,andworkedinvariouspositionsfortheNASDandNASDAQfor20yearsuntilhisretirementfromNASDAQinSeptember2009.TheSECallegesthatJohnsonhadfrequentandsignificantinteractionswiths

6、eniorexecutivesofNASDAQ-listedissuers,includingCEOs,CFOs,andinvestorrelationsofficersathisassignedcompanies.HethentransferredtotheMarketIntelligenceDesk,aspecializeddepartmentwithintheCCGthatprovidesissuerswithgeneralmarketupdates,overviewsoftheircompany'ss

7、ector,andcommentaryregardingthefactorsinfluencingday-to-daytradingactivityintheirstocks.TheSECallegesthatJohnsonhadfrequentandsignificantinteractionswithseniorexecutivesofNASDAQ-listedissuers,includingCEOs,CFOs,andinvestorrelationsofficersathisassignedcompa

8、nies.TheSECallegesthatJohnsonhadfrequentandsignificantinteractionswithseniorexecutivesofNASDAQ-listedissuers,includingCEOs,CFOs,andinvestorrelationsofficersathisassignedcompanies.Thecorporateexecutives

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