Category: SEC
SubscribeCCO 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 MoreAI Safety at Corporations a Concern for Biden, Shareholders
Seeking to harness the benefits of rapidly advancing artificial intelligence while also attempting to manage its growing risks, President Biden this week issued an executive order to establish new standards for AI safety, security, and priv...
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 MoreGovernment Shutdown Would Reduce SEC to ‘Skeletal’ Staff
After passing a stopgap funding bill on September 30, Congress is facing a tight deadline to approve longer-term legislation to fund the federal government and avoid a shutdown. Lawmakers in recent years have often scrambled to beat the clo...
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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