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Individual Trading Plans Can Help Defend Securities Fraud Claims

As the indictments, trials, and convictions of executives continue to fill the headlines, the focus on corporate scandals that followed the collapse of Enron and the overall stock market shows little sign of dissipating.

The federal government continues to increase its scrutiny of public companies. The Securities and Exchange Commission was recently awarded a substantial increase in its budget, in part to increase its review of corporate financial statements and enlarge its investigative ability, and the Sarbanes-Oxley Act of 2002 created an entirely new and well-funded entity, the Public Company Accounting Oversight Board, with an express purpose of searching for accounting fraud.


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