Hearing: Insider Trading and Stock Option Grants: An Examination of Corporate Integrity in the COVID-19 Pandemic

Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets (Committee on Financial Services)

Thursday, September 17, 2020 (12:00 PM)

----------
Washington, D.C.
Online Meeting- Member and witness participation through Cisco Webex Virtual platform. Public Access via the Committee's website.

Witnesses

Mr. Rick Claypool
Research Director, Office of the President, Public Citizen

Added 09/14/2020 at 03:42 PM
  • Witness Testimony [PDF] Added 09/16/2020 at 04:03 PM
  • Truth in Testimony [PDF] Added 09/16/2020 at 04:03 PM

Ms. Jill Fisch
Distinguished Professor of Business Law and Co-Director of the Institute of Law and Economics, University of Pennsylvania Law School

Added 09/14/2020 at 03:42 PM
  • Witness Testimony [PDF] Added 09/16/2020 at 09:37 PM
  • Truth in Testimony [PDF] Added 09/16/2020 at 09:37 PM

Mr. Jacob S. Frenkel
Chair of Government Investigations and Securities Enforcement, Dickinson Wright

Added 09/14/2020 at 03:42 PM
  • Witness Testimony [PDF] Added 09/16/2020 at 04:03 PM
  • Truth in Testimony [PDF] Added 09/16/2020 at 04:03 PM

Mr. Granville Martin
Senior Vice President and General Counsel, Society for Corporate Governance

Added 09/15/2020 at 11:52 AM
  • Witness Testimony [PDF] Added 09/16/2020 at 04:03 PM
  • Truth in Testimony [PDF] Added 09/16/2020 at 04:03 PM

Text of Legislation

  • H.R. 624- Promoting Transparent Standards for Corporate Insiders Act (Waters) [PDF] Added 09/14/2020 at 03:42 PM
  • H.R. 2534- Insider Trading Prohibition Act of 2019 (Himes) [PDF] Added 09/14/2020 at 03:42 PM
  • H.R. 4335- 8-K Trading Gap Act of 2019 (Maloney) [PDF] Added 09/14/2020 at 03:42 PM
  • H.R.___: To amend the Securities Exchange Act of 1934 to prohibit issuers from granting stock options if the grantor or recipient are in possession of certain nonpublic information, and for other purposes (Sherman) [PDF] Added 09/14/2020 at 03:42 PM

Support Documents

  • Hearing Notice [PDF]
  • Hearing Memo [PDF] Added 09/14/2020 at 03:42 PM Updated 09/15/2020 at 11:52 AM
    Witness added to the panel     Updated 09/16/2020 at 04:03 PM
    Updated memo

First Published: September 10, 2020 at 04:25 PM
Last Updated: September 16, 2020 at 09:37 PM


Download Meeting XML (.xml)  Download Meeting Package (.zip)   Visit Committee Site