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Category: Rules & Regs

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SEC Rule on Human Capital Disclosure Leaves Specifics to Issuers

hungry dog holding an empty bowl

In a year dominated by conversation of furloughs, payroll protection and corporate diversity, it’s no shock that investors are hungry for information about issuers’ workforce. The SEC’s recent amendments to Regulation S-K have brought this...

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PPP Presents PR, Accounting Pickles for Public Companies

Combo Burger Meal with fries on checkered basket

Shake Shack is one of America’s favorite guilty pleasures. But it turns out the Shack isn’t immune to feeling some guilt itself. Last week, it returned a $10 million loan it had ordered from the Paycheck Protection Program (PPP). After disc...

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SEC Eases Audit Requirements for Smaller Companies

A number 35 relief valve

It takes a lot to break through the coronavirus-centric news cycle, but this development in the world of financial regulation does the trick. Last week, the Securities and Exchange Commission adopted changes that will cut back on auditor at...

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SEC Takes Down Steven Seagal, ETF Applicants in Crypto Confrontations

Black belt (martial arts) laid out on dojo floor with students

The Securities and Exchange Commission was out for justice recently when it came calling on action movie star Steven Seagal. The “Half Past Dead” leading man found out that even he wasn’t above the law when it comes to cryptocurrency regula...

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Will Regulators Catch Up on Privacy Protections?

Police car Chasing speeder in black and white

For many companies, a $550 million settlement in a class action lawsuit would strike a crippling blow. Facebook isn’t one of them. The social networking giant revealed in a 10-K filing last month that it agreed to pay more than a half a bil...

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