Category: Rules & Regs
SubscribeSEC Uses ‘Swiss Army’ Statute in $25 Million Fine for Violations on Stock Buybacks
Companies that alter their trading plans outside guidelines authorized by their boards should beware of the risk of heightened regulatory scrutiny from the Securities and Exchange Commission. The agency on November 14 announced that Charter...
Read MoreA Rulemaking Process for the Rest of Us
Festivus came early this year for Mark Uyeda. In public appearances earlier this month, the Republican-appointed commissioner of the Securities and Exchange Commission aired his grievances with the agency’s rulemaking process. (Observers of...
Read MoreCCO Liability Becomes Hot Topic in Compliance Circles
Speaking at a New York City Bar Association event last month, the director of the Securities and Exchange Commission Division of Enforcement opened his remarks with a warning about the eroding levels of public trust in institutions across t...
Read MoreGensler Warns Big Business About Pitfalls of Spiking Climate Disclosure Rules
Securities and Exchange Commission Chair Gary Gensler has apparently decided to go as the Devil You Know for Halloween this year. Gensler donned his costume – in a metaphorical sense, of course – last week when speaking about the SEC’s prop...
Read MoreSEC Adopts Rules for Speedier 13D Disclosures to Keep Pace with Modern Market
The popular culture of the 1970s was awash in flared jeans and wide lapels. And in the world of finance, the decade also saw the first rules regarding beneficial ownership reporting go into effect. Though technology made the world faster a...
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