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Category: Rules & Regs

Fried egg on a sidewalk

Smaller Banks Start Feeling the Heat From the SEC

Fried egg on a sidewalk

First Republic Bank, Silicon Valley Bank and Signature Bank may have crashed months ago, but the fallout from their implosions continues to reverberate across the financial sector. Regulators are now examining potential links between the co...

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SEC Cracks Down on Crypto Exchanges

Two young siblings staring head to head in argument

The big story in the investment world last week was the Securities and Exchange Commission initiating a long-anticipated showdown with the cryptocurrency sector. On June 5, the agency filed a lawsuit against the world’s largest crypto excha...

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DOJ Official Touts Early Impact of Criminal Disclosure Policy

Person extends arm to wave a white flag of surrender

It hasn’t taken long for the Department of Justice’s new self-disclosure policy to change company behavior when it comes to reporting potential criminal misconduct, according to the head of its Criminal Division. Speaking at a conference la...

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Two baby goats butting heads

SEC Already Facing Legal Challenge to Buyback Rules

Two baby goats butting heads

Shareholders of technology giant Apple might have experienced feelings of déjà vu earlier this month. In announcing its financial results for 2023’s second quarter, the company also revealed that its board of directors authorized buying bac...

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Tightened shoelaces

Amid New Disclosure Rules, Scrutiny of CEO Pay Intensifies

Tightened shoelaces

A year ago, Microsoft instituted headline-grabbing measures to lift employee pay as inflation spiked and labor markets tightened. Compensation at the tech giant is now returning to earth, with CEO Satya Nadella announcing last week that ful...

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