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Category: SEC

Red hot charcoal burning

CCO Liability Becomes Hot Topic in Compliance Circles

Red hot charcoal burning

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...

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AI Safety at Corporations a Concern for Biden, Shareholders

Blue and purple fiber optics in space

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...

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Gensler Warns Big Business About Pitfalls of Spiking Climate Disclosure Rules

French bulldog in red Halloween headband

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...

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Government Shutdown Would Reduce SEC to ‘Skeletal’ Staff

Dinosaur fossil skeleton

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...

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SEC Adopts Rules for Speedier 13D Disclosures to Keep Pace with Modern Market

Vintage 1970s peacock pattern in orange, olive green and gold

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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